Senior Compliance Analyst - Investment Advisory
Core
Supports the Investment Advisory Compliance Administration Team by responding to compliance inquiries, interpreting firm policies, and supporting surveillance activities for financial advisors.
Role type
Senior IC compliance analyst (investment advisory)
Builds
Compliance workflows and advisory support processes
Domain
Financial services / Investment advisory
Deliverable
dashboards & analysis
Required skills
Knowledge of Investment Advisers Act, Investment Company Act, Securities Act; Experience with registered investment advisers; Analytical and research capabilities; Proficiency with Microsoft Office
Preferred skills
FINRA Series 7, Series 24, Series 65, or Series 66 registrations; 5+ years of relevant experience
Technologies
Microsoft Office (Word, Excel, PowerPoint, Outlook)
Responsibilities
Respond to compliance inquiries from financial advisors and internal staff; Support onboarding and maintenance of Investment Adviser Representatives (IARs); Monitor assigned workflows for accuracy; Identify and recommend updates to desktop procedures to address compliance gaps; Partner with Compliance, Operations, Supervision, and Legal departments
Seniority
Senior, hands-on IC