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Senior Compliance Analyst - Hybrid

Assist with the day-to-day administration of the company's compliance program designed to meet regulatory obligations and to preserve and enhance the company's reputation for integrity.

Essential Functions 

Reasonable accommodations may be made to enable individuals with disabilities to perform these essential functions. 

  • Work with the CCO to review, maintain, and update SEC regulatory filings (ADV Part 1, ADV Part 2A & 2B, Form CRS, Section 13 Filings, etc.) and FINRA licensing and registration filings (Form U4, Form U5) 
  • Support the CCO with various activities including but not limited to developing, maintaining, and updating the Firm’s compliance policies and procedures and conducting risk assessments of Investor Advisor operations 
  • Recommend risk mitigation techniques and controls 
  • Work with the CCO to conduct annual SEC compliance reviews pursuant to rule 206(4)-7 by assessing the Advisor’ policies and procedures, testing of the policies and procedures, and ensuring proper documentation, recordkeeping, and escalation to management 
  • Review marketing materials and investor communications to ensure compliance with relevant laws and regulations, most notably SEC rule 206(4)-1 (the “advertising rule”) 
  • Conduct employee training with respect to the compliance program 
  • Oversee the day-to-day administration of the Firm’s code of ethics/personal trading policies through the Firm’s compliance software. 
  • Monitor new legal and regulatory developments and update policies and procedures accordingly. 
  • Ensure and maintain the integrity of compliance books and records 
  • Mentor and train Compliance Analysts and other compliance department teammates 
  • Other duties as assigned 

Supervisory Responsibilities 

  • Not applicable

Physical Demands 
 Walking (10%), Standing (10%), Sitting (70%), Lifting (10%)

Required education and experience 

  • Strong understanding of the financial service asset management industry, securities markets, as well as knowledge of securities laws and regulatory interpretations that relate to investment advisors (e.g. the Advisors Act, the '40 Act, the Securities Act, the Exchange Act, and applicable FINRA and ERISA rules)
  • Familiarity with all federal and state regulations governing insurance firms and registered investment managers 
  • A strong fluency related to the Investment Advisor's Act of 1940, and Part 275 Rules and Regulations, Investment Advisers Act of 1940. 
  • Excellent analytical and communication skills and a strong sense of ethics and integrity. 
  • Proficient in filing all required Federal and State Reports.
  • Good analytical skills relating to compliance and business risk 
  • Good problem-solving skills 
  • Excellent written, oral, and presentation skills 
  • Meticulous attention to detail and highly accurate 
  • A self-starter who enjoys a team-oriented approach 
  • Possesses a high moral character and professional integrity 
  • Maintain continuing education in compliance related matters 
  • JD preferred 
  • Good organizational skills 

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