Senior Compliance Analyst Partner Integration, Monitoring & Testing
Core
Support compliance activities for acquired firms through monitoring, testing, branch audits, and integration processes.
Role type
Senior IC compliance analyst (M&A integration)
Builds
Internal surveillance systems, audit reports, and remediation action plans for acquired investment advisor firms
Domain
Financial services / Investment Advisers Act / Securities regulation
Deliverable
dashboards & analysis
Required skills
Risk assessment, audit execution, root cause analysis, regulatory knowledge (Investment Advisers Act, Securities Exchange Act, FINRA, ERISA, DOL), data pattern identification, policy development
Preferred skills
Series 65 License
Technologies
MS Excel, MS Word, MS Outlook, MS PowerPoint
Responsibilities
Collaborate on annual risk assessment and internal surveillance system development; Conduct regular audits to assess controls and procedures; Identify patterns and trends in analyzed data; Prepare and conduct virtual and physical branch office exams; Track action plans and prepare reporting for the Compliance Monitoring and Testing Manager; Assist with development of policies and procedures to address deficiencies
Seniority
Senior, hands-on IC