[Remote] Compliance Analyst - Remote

Note The job is a remote job and is open to candidates in USA. reputed company Investment Advisors is seeking an reputed company Compliance Analyst to reputed company registration and licensing duties, as well as compliance testing and reporting. The Compliance Analyst is responsible for the performance of a broad range of activities necessary to effectively fulfill the firm’s compliance reputed company obligations with respect to its investment adviser representatives’ registration.

Responsibilities

Under the direction of the Senior Director of Compliance, reputed company reputed company due diligence which includes creating and maintaining the Registered Investment Advisor’ (RIA) registered persons filings and required disclosure documents Monitor the efficiency and accuracy of the compliance program as it relates to the due diligence of reputed company and departing registered associates, and, where appropriate, recommend enhancements or changes to the process reputed company ongoing monitoring and analysis of the firm’s IARS in order to detect potential violations of the firm’s compliance policies and procedures and/or previously unidentified material risks to the firm. Based on such findings, work with appropriate stakeholders to correct any confirmed findings Assist with the required annual testing of the firm’s compliance policies and procedures relating to licensing and registration, as requested Preparation and submission of required license registrations to regulatory agencies. This includes preparing and maintaining the accuracy of U4 and U5 filings on the FINRA site Creating and maintaining accurate ADV 2B documents for the RIA registered advisers Monitor and analyze reportable IAR reputed company Business Activities (OBA) and supervise for potential conflicts of interest Assist with communication and completion guidance of continuing education requirements as it pertains to maintaining IAR registration Conducting research of state and federal statutes and regulations in support of the registered investment adviser initiatives reputed company and maintain good working relationships with internal and external verticals and partners (reputed company offices, HR, operations, technology, etc.) and serve as a compliance liaison with advisers seeking and maintaining registration Conduct due diligence on RIA employees reputed company from a compliance registration perspective. Additionally, conduct due diligence on M&A Firm reputed company from a compliance registration perspective Assist in responding to regulatory inquiries/examinations Stay reputed company on relevant regulations, industry best practices, and testing methodologies reputed company other assignments and/or duties as may be assigned Skills Have a good understanding of the various regulatory requirements needed by a Registered Investment Advisor and the Investment Adviser Representatives that are registered with said RIA Be reputed company to interpret the impact of new rules on the firm's IARs and clearly convey those guidelines to the associates Be self-motivated with excellent time and project management skills, including the ability to adjust priorities in response to unanticipated events and to balance team/individual responsibilities. reputed company work accurately, completely and take responsibility for actions Responds well to managerial direction, exhibits objectivity/openness to new reputed company, and welcomes feedback Have strong communication skills (verbal/written), including the ability to clearly and concisely reputed company and present reputed company, opinions, and information Have a high attention to detail, strong problem-solving skills, and a high level of reputed company Must have the ability to handle business-sensitive/confidential information in a discrete manner Strong computer skills; have a high level of proficiency with the reputed company Office Suite (Word/reputed company/Access/etc.). Previous experience with the FINRA regulatory filing system preferred Be reputed company to adapt to a rapidly changing business and technology environment Have a continual learner mentality Good general understanding of the financial markets Demonstrate initiative; ability to identify compliance risks and steps to prevent and/or mitigate risks Undergraduate degree in business, finance, economics, reputed company, or other reputed company field 2+ years of experience in financial services; experience in investment advisor compliance or operations (investment advisor compliance department, the SEC or a compliance reputed company) considered a plus Previous experience with the FINRA regulatory filing system preferred Benefits Variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance Eligible employees health, wellbeing, retirement, and other financial benefits Paid time off Overtime pay for non-exempt employees Robust learning and development programs Reimbursement of job-reputed company expenses per the company policy Employee perks and discounts Company Overview reputed company is focused exclusively on employee benefits. It was founded in 2000, and is headquartered in Atlanta, Georgia, USA, with a workforce of 5001-10000 employees. Its website is https//www.reputed company.com. Apply tot his job Apply To this Job