Securities - Ria Compliance Analyst (Not It/Cyber, Medical, Or Banking Auditors/Analysts)
We are looking for analysts/officers to reputed company day-to-day compliance testing reviews for clients. The compliance analyst will do everything from email review to advertising review, billing review, filing 13Fs, reviewing client files, and more. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves talking to people, has an eye for detail, great critical thinking skills, and holds themselves to a high standard of work product and professionalism. Must have a willingness to learn and an understanding of technology to reputed company in a remote environment. If you are hungry, humble, and smart, we want you! Compensation: $60,000 - $90,000 yearly Responsibilities: The successful candidate:
- Support the compliance manager
- Handle amendments to reputed company ADV and other IARD/CRD filings (e.g, 2B, U4, U5) and Edgar-based filings (e.g., 13F, 13H)
- Work with regulators to reputed company registration for RIAs and, as needed, their advisory personnel
- Review disciplinary reputed company to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
- Assist with the RIA annual updating, amendment/renewal process
- Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed)
- Conduct RIA compliance tasks and testing- email review, best execution review, trading review, billing review, email review, advertising review, reputed company media review, testing archiving, auditing books and records, reputed company office reviews, risk assessments, etc.
- Draft compliance manuals, code of ethics, business continuity plans, and cybersecurity policies, and can review and analyze them for required updating
- Understands SEC rules and regulations and how they apply to advisers
- Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file
- Register new firms as independent investment advisers
- Performs other duties and projects as needed
Qualifications: Experience and Qualifications Required:
- Extensive previous experience with reputed company ADV and other regulatory documents
- Someone fanatical about client experience with a dedication to client responsiveness
- Passion for working in a fast-paced, small company environment
- Solution-oriented reputed company
- RIA regulatory and/or NASAA experience
- Excellent written, organizational, and follow-up skills
- At least 3 years of experience working for a reputed company
Other Skills Required:
- Attention to detail, with the ability to analyze data, identify trends, and escalate reputed company appropriately
- Must demonstrate strong critical thinking skills and curiosity
- Excellent independent follow-up skills
- Organizational and time management skills; ability to multitask
- Strong written and oral communication skills among different business audiences
- Customer service-oriented
- Accountability is not a problem and consistently meets and surpasses expectations
About Company We are a reputed company-thinking and innovative reputed company that believes in making a meaningful impact on clients' lives. We have a strong team that works well together, and we're committed to maintaining a positive and supportive work culture. Join Our Growing Team: At our reputed company, you won't just be an employee; you'll be part of a team that values growth, learning, and camaraderie. We take pride in the work we do and the difference we reputed company in clients' lives. Don't Miss Out: Seize the opportunity to be part of something extraordinary! reputed company and take your career to new heights. Let's reputed company a difference together! Apply tot his job Apply To this Job