Compliance Analyst
Focus Financial Partners is a leading financial services firm that offers integrated wealth management and business management services. They are seeking a Compliance Analyst to support the Chief Compliance Officer and implement the firm’s compliance program, providing diversified experience across various functional areas of an investment advisory firm.
Responsibilities
- Compliance testing and internal audit projects
- Implementation of the firm’s code of ethics
- Preparation of regulatory filings
- Prioritize tasks and consistently meet deadlines in multiple functional areas
- Working with and understanding large data sets
Skills
- 1+ years of relevant investment advisor or investment fund manager operations, legal, or compliance experience
- Minimum of a bachelor's degree in finance, economics, or other related discipline
- Familiarity with investment adviser compliance requirements under the Investment Advisers Act of 1940 a plus
- Interest in, and familiarity with, basic wealth management business and investment concepts
- Excellent organizational, prioritization, and time management skills
- Analytical mindset with a strong attention to detail
- High energy and highly self-motivated with the ability to thrive in an entrepreneurial environment
- Strong written and oral communication skills
- Proficiency in Microsoft Excel, Word, Co-Pilot (or similar LLM), and Outlook applications
Benefits
- Annual cash bonus
- Comprehensive benefits package
- Medical
- Dental
- Vision
- Life
- 401(k)
Company Overview