Senior Compliance Analyst Partner Integration, Monitoring & Testing
Based in the United StatesFull-TimeSenior
Salary$85,000 to $100,000 USD
Apply NowOpens the employer's application page
Job Details
- Experience
- Minimum of 3 years of compliance experience
- Required Skills
- Microsoft Excel
Requirements
- Minimum of 3 years of compliance experience within an investment advisory or financial services environment.
- Strong understanding of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA regulations, ERISA, and Department of Labor requirements.
- Demonstrated experience conducting compliance monitoring, testing, audits, or regulatory reviews.
- Excellent analytical, critical thinking, and problem-solving abilities with strong attention to detail.
- Outstanding written and verbal communication skills.
- Strong organizational skills and the ability to manage multiple priorities in a deadline-driven environment.
- Proficiency with Microsoft Excel, Word, Outlook, and PowerPoint.
- Series 65 license is preferred.
- Willingness to travel occasionally (approximately 15%) for branch examinations and compliance activities.
Responsibilities
- Support compliance monitoring and testing activities for newly integrated businesses throughout the post-acquisition process.
- Participate in annual risk assessments and contribute to the enhancement of compliance surveillance programs and internal controls.
- Conduct compliance reviews, audits, and branch examinations to evaluate adherence to internal policies and applicable regulatory requirements.
- Analyze data to identify trends, emerging risks, and potential compliance concerns requiring remediation.
- Maintain thorough documentation, testing workpapers, and audit records in accordance with regulatory expectations.
- Track remediation plans, monitor corrective actions, and prepare regular compliance reports for leadership.
- Assist in developing and updating compliance policies, procedures, and control frameworks based on audit findings.
- Stay informed on evolving regulatory developments affecting investment advisers and support additional compliance initiatives as needed.
View Full Description & ApplyYou'll be redirected to the employer's site
