Operations & Compliance Analyst

About the role

The Operations, Technology & Compliance Analyst supports the daily operations, technology, compliance and business systems functions of Parcion Private Wealth. This role serves as a key resource for technology administration, process improvement, AI adoption, operational execution and regulatory compliance.

Responsibilities

• Serve as the primary administrator and internal subject matter expert for firm technology platforms and business systems
• Drive adoption, optimization and ongoing enhancement of technology platforms across the organization
• Partner with department leaders to identify opportunities for automation, workflow improvements and operational efficiencies
• Champion the use of AI tools and emerging technologies throughout the firm, helping employees leverage technology to improve productivity and client outcomes
• Support the evaluation, implementation and rollout of new technologies, platforms and integrations
• Maintain system documentation, process maps and best practices to support scalability and consistency
• Develop reporting, dashboards and operational insights that support business decision-making
• Accountable for supporting efficient and scalable business operations through process design, execution and continuous improvement initiatives
• Collaborate across Advisory, Client Service, Investments, Planning, Marketing and People Operations to improve workflows and employee experiences
• Aid in developing, documenting and maintaining standard operating procedures across departments
• Support operational KPI tracking and key business initiatives
• Coordinate employee onboarding and offboarding activities, including technology access, equipment management and operational readiness
• Support vendor relationships and operational partnerships, escalating issues and opportunities as appropriate
• Support office administration and facilities management inquiries and issues, maintaining a professional and responsive relationship with building management
• Reinforce a culture of accountability, continuous improvement and operational excellence
• Partner with the Chief Compliance Officer and Director of Finance & Operations to support the firm's compliance program and regulatory obligations
• Coordinate routine compliance testing, monitoring and documentation activities
• Assist with cybersecurity, privacy, books and records, marketing review and Code of Ethics oversight activities
• Leverage outsourced compliance resources to ensure regulatory requirements remain current and effectively implemented
• Maintain compliance documentation, testing records and procedural updates
• Support regulatory examinations, audits and ongoing compliance program enhancements

Requirements

• 3-5 years of experience in an operations and/or compliance role is preferred
• Experience in the financial services industry is a plus
• Strong attention to detail with the ability to manage multiple projects and deadlines simultaneously
• Demonstrated ability to collaborate cross-functionally and communicate effectively across departments
• Familiarity with technology platforms, system administration, and process documentation
• Comfort working in a dynamic, fast-paced environment with a proactive and solutions-oriented mindset