Compliance Analyst - IA Oversight

Location(s): Atlanta, GA; La Vista, NE; Oakdale, MN; Scottsdale, AZ; St. Petersburg, FL. Hybrid schedule requiring a minimum of 4 days weekly in the office. Applicants must be located at one of these hubs.

About the role

The Investment Advisory Compliance Analyst will be involved in a variety of compliance functions including monitoring & testing, risk assessment, training, remediation, and reporting of compliance issues within the RIA firms under direction of the RIA Compliance SVP. This role interprets and applies compliance policies and procedures to business practices on a day-to-day basis.

Responsibilities

• Support the existing Investment Advisory Compliance surveillance program
• Conduct risk assessments and testing of IA compliance programs and Financial Planning
• Perform Monitoring & Surveillance over business processes and controls
• Analyze current IA Compliance functions and suggest enhancements and standardization, where appropriate
• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• Review, draft, and assist the RIA Compliance SVP with the implementation of compliance procedures
• Support advisors by providing guidance on RIA policy and procedures questions
• Execute desktop procedures for RIA surveillance and other IAR related activities
• All other duties as assigned

Requirements

• Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution
• Excellent verbal and written communication skills
• Proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
• Strong abilities in analytical thinking, problem solving, research, and time management

Qualifications

Bachelor’s Degree preferred. High School Diploma or GED certificate with significant practical experience will be considered.

• FINRA Series 7, 24, 66, or 63/65 a plus
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, and Securities Act of 1933
• Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities

Pay

$65,000 - $69,000 per year plus annual performance-based bonus. Actual compensation offered will be determined individually based on job-related factors including location, skills, licensure, experience, and education.

Benefits

• Health, vision, and dental insurance
• 401k retirement plan
• Paid time away
• Volunteer days
• Additional benefits available (visit Osaic Benefits for details)