Compliance Analyst - DOE

Job Description

Job purpose

The role of the Compliance department for the registered investment adviser is both oversight of the Investment Advisers Act in accordance with the Securities and Exchange Commission (SEC) as well as maintaining compliance with all applicable state requirements. We serve to ensure that regulatory requirements are met, and we serve the best interests of our Clients.

This is an onsite position at our Scottsdale Corporate office.

The Compliance Analyst will support the CCO with all functions of the Compliance Program including, but not limited to:

Duties and responsibilities

Onboard and register new Advisors, including Code of Ethics reporting.

Perform client fee-billing audits.

Review firm marketing materials to ensure compliance with SEC and state marketing rules.

Collaborate with internal and external partners to find solutions that support both compliance and firm growth.

Manage tasks involving data collection and analysis related to performance composites and other firm and regulatory disclosures.

Prioritize periodic demands such as regulatory examination requests, ADV/EDGAR disclosure requirements, and client-related situations while maintaining progress on routine tasks.

Handle sensitive and confidential information with the utmost diligence.

Occasional travel may be required to conduct branch reviews and/or attend industry seminars.

Qualifications

Bachelor's degree or an equivalent combination of industry experience, education, and training

5-8 years of work experience in the financial services industry *Industry licenses a plus

Effective communication and collaboration skills

Must have a focus on quality, efficiency, and accountability.

Must be a self-motivated problem- solver and be flexible in a changing environment.

High proficiency with MS Office programs, notably Excel

Knowledge of the following software is a plus but not required: Salesforce, Snowflake

SEC and FINRA filing experience a plus.

Benefits

Base salary of $95K DOE

Future career growth opportunity.

401(k) with a matching contribution up to 13%.

United Healthcare PPO medical coverage for employees, paid by the company.

Delta Dental PPO, United Healthcare Vision, Short Term Disability, Long Term Disability, Life Insurance, and many more voluntary options.

Generous holidays and PTO.

Full-time

Hybrid remote