Senior Compliance Analyst Partner Integration, Monitoring & Testing

Accountabilities

• 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.
• Aid 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.

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, with the ability to communicate complex regulatory concepts clearly.
• 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 but not required.
• Willingness to travel occasionally (approximately 15%) for branch examinations and compliance activities.

Benefits

• Base salary ranging from $85,000 to $100,000 USD, with eligibility for performance-based incentive compensation.
• 100% remote work arrangement with a standard Monday-Friday schedule.
• Comprehensive medical, dental, and vision insurance options.
• Company-paid life insurance, short-term disability, and long-term disability coverage.
• Additional voluntary insurance options, including accident, critical illness, hospital indemnity, and supplemental life coverage.
• Health Savings Account (HSA) with employer contributions for eligible plans.
• 401(k) retirement plan with employer matching, including Traditional, Roth, and after-tax contribution options.
• Generous paid time off, paid holidays, including an extended Thanksgiving break.
• Paid parental leave, family leave benefits, and adoption assistance.
• Employee Assistance Program and concierge support services.
• Dependent care savings account and pet insurance.
• Access to discounted financial planning services.