Investment Compliance Analyst

About the role

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.

Essential Duties and Responsibilities

• Provide support to the overall Compliance Program
• Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies
• Work with Compliance Directors to support new compliance initiatives
• Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested
• Utilize Compliance Software to manage components of the Compliance Program
• Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop
• Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions

Additional Responsibilities

• Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members
• Perform additional projects and tasks in support of the Stratos Compliance program as assigned

Skills / Key Competencies Required

• Bachelor's degree
• FINRA SIE, Series 7, 24 and 65/66
• 3-5 years' experience with an investment advisory firm
• Ability to communicate positively and effectively compliance requirements to investment advisory representatives
• Minimal travel required
• Attention to Detail / Data Organization
• Proficient with technology
• Effective communication skills, written and verbal
• Ability to work in a fast-paced, changing environment
• Collaborative mentality; strong team orientation