Investment Advisory Compliance Analyst

Compliance Analyst Opportunity in Financial Services

Investment Advisory Compliance Analyst

Location(s):     

2300 Windy Ridge Parkway, Atlanta, GA  30339 

20 E Thomas Road, Phoenix, AZ  85012

7755 Third Street North, Oakdale, MN  55128

10 Exchange Place, Jersey City, NJ 07302

877 Executive Center Drive West, St. Petersburg, FL 33702

12325 Port Grace Blvd, La Vista, NE 68128

**This position is open to Remote Applicants

Summary:

This position is involved on a day to day basis in in interpreting and applying compliance policies and procedures to business practices, the annual assessment and testing Policies and Procedures, regulatory filings and maintenance of IA Policies and Procedures under direction of Deputy Chief Compliance Officer or Chief Compliance Officer. 

Why Advisor Group?

• Competitive salary and annual bonus paid based on performance
• Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
• Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
• 401(k) match from day one of employment
• Referral bonuses if we hire your referred applicants to our open positions
• An enriching and engaging career in financial services – our employees overwhelmingly report that they find meaning and purpose in their day to day work
• Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
• New, professional, and collaborative working environment where parking is provided

Responsibilities:

• Support the existing IA Compliance program operating in a collaborative environment with cross-functional teams
• Assist with the enhancement of procedural documentation in support of overall IA policies and procedures
• Review, draft and implement compliance procedures
• Identify and implement strategies for improved processes and procedures
• Perform periodic testing of the effectiveness of IA policies and procedures
• Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
• 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 relating to all areas of Compliance
• Participate in ad-hoc requests, special projects and regulatory exams
• All other duties as assigned

Education Requirements:

• Bachelor’s Degree from accredited university in Business Administration, Finance, or related field required

Basic Requirements:

• 1-3 years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution
• Series 7 license required
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933
• Excellent verbal and written communication skills
• Strong abilities in analytical thinking, problem solving, research, and time management

Preferred Requirements:

• Series 65 or Series 66 license preferred

At Advisor Group, we support more than 11,000 financial advisors, 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.

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.