Compliance Analyst - IA Administration
Core
Primary point of contact for financial advisors and internal partners, handling compliance inquiries and administrative support for investment advisory policies.
Role type
Compliance Analyst (IA Administration)
Builds
Operational support for Investment Advisory Compliance Administration Team
Domain
Financial Services / Investment Advisory
Deliverable
dashboards & analysis
Required skills
Regulatory compliance knowledge, MS Office proficiency, workflow monitoring, policy administration, stakeholder communication
Preferred skills
FINRA Series 7/24/66/63/65, Investment Advisers Act experience, Securities Act experience, Customer Service experience
Responsibilities
Respond to compliance inquiries from advisors and internal staff, assist with Form ADV Part 2B maintenance, support IAR onboarding and maintenance, coordinate with Legal and Compliance Operations, monitor assigned workflows, update desktop procedures
Seniority
Mid-level, hands-on IC