|Job Description :
||Compliance Risk Opportunity in Financial Services
Lead Investment Advisory Compliance Analys t
Location: Accepting qualified candidates in all locations and remotely
The Lead Investment Advisory Compliance Analyst will be involved in a variety of compliance responsibilities including interpreting and applying compliance policies and procedures to business practices, the annual assessment, testing and maintenance of Policies and Procedures, regulatory filings, remediation actions, risk assessment and reporting of compliance issues within the RIA firm, under direction of the RIA Compliance Officer. This position is involved on a day to day basis in interpreting and applying compliance policies and procedures to business practices.
Support the existing IA compliance program operating in a collaborative environment with cross-functional teams
Conduct risks assessments and testing of IA compliance programs
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 implement compliance policies
Support advisors by providing guidance on RIA policy and procedures questions
Conduct Annual Review of the IA Compliance Program – helping to perform various testing and procedures to assess the effectiveness of compliance system throughout the year in support of the required annual reporting summary
Aggregation and reporting of information relating to form ADV part 1A, Forms 13F, 13H and other regulatory filings as needed
Assist the other members of the department with incoming field inquiries from the Compliance Hotline and mailboxes relating to all areas of IA Compliance
Participate in ad-hoc requests, special projects and regulatory exams
All other duties as assigned
Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.
At least five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
Significant prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
Significant prior experience with Rule 206(4)7 testing
FINRA Series 66 or 65 required.
Excellent verbal and written communication skills
Must be proficient with MS Office and Word. Proficiency with MS Excel is a must.
Strong abilities in analytical thinking, problem solving, research, and time management. Ability to think through complex Compliance issues.
Ability to work on assignments independently, using a high level of judgment and initiative in resolving problems and developing recommendations
FINRA Series 7 and 24 preferred. Be A Part Of The Team Behind Our Success!
At Advisor Group, we support financial professionals across the nation, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special. Equal Opportunity Employer
Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.
Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.
Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.
Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.