Investment Adviser Compliance Analyst

FrontLine Compliance, LLC
Rockville, MD Full Time
POSTED ON 9/17/2021 CLOSED ON 9/30/2021

Job Posting for Investment Adviser Compliance Analyst at FrontLine Compliance, LLC

About us

FrontLine Compliance, LLC

We show top-tier investment firms the strategic and economic advantages of thinking proactively and strategically about compliance. We save our clients time, stress, money and resources by teaching them to think more like the senior-level compliance insiders we were before our founding. Our deep-dive, customized approach is rigorous, but irrefutably successful. Our clients enjoy prompt response and ready access to our senior executives. That’s our policy.

Adviser Compliance Analyst

Job Overview

We are the leader in expert compliance consulting nationwide. We are seeking to hire an Adviser Compliance Analyst to join our team. This is a junior position, but not entry-level. This position requires 3 days per week onsite at our Rockville, Md office.

Adviser Compliance Analyst Skills and Qualifications:

  • Utilize industry best practices, techniques, and standards of regulatory reviews for specific compliance tasks such as:
  • Electronic surveillance reviews
  • Personal trading reviews
  • Marketing and advertising reviews
  • Exception report reviews
  • Manipulating and creating excel workbooks.
  • Specific database reviews (Salesforce, Preqin)
  • Project management system reviews and updates
  • Researching regulations by reviewing regulatory bulletins and other sources of information.
  • Compile information from and for SEC filings.
  • Revising and updating materials for in-house use.
  • Writing and communicating regulatory and filing information to other firm staff.
  • Prepare reports by collecting, analyzing, and summarizing information.
  • Maintain high quality customer service by establishing and enforcing organization standards.

Qualifications for Adviser Compliance Analyst

SEC Regulatory Compliance skills with a focus on the Investment Advisers Act and Investment Company Act of 1940, Thoroughness, Client Relationships, Informing Others, Research Skills, Reporting Research Results, Building Relationships, Coordination, and:

  • Bachelor's degree in business, or a related field
  • 2-3 years of investment adviser or related compliance or regulatory experience
  • Proven ability to solve problems creatively.
  • Familiarity with project management software tools, methodologies, and best practices
  • Strong interpersonal skills and extremely resourceful
  • Proven ability to complete projects according to outlined scope and timeline.

FrontLine Compliance has a COVID-19 Vaccination Policy in place. Our policy is in line with EEOC standards as well as CDC guidance.

Job Type: Full-time

Pay: $85,000.00 - $115,000.00 per year

Benefits:

  • 401(k)
  • 401(k) matching
  • Flexible schedule
  • Health insurance
  • Paid time off
  • Parental leave

Physical Setting:

  • Office

Schedule:

  • 8 hour shift
  • Monday to Friday

Supplemental Pay:

  • Bonus pay

COVID-19 considerations:
Yes. Vaccine is required and masks worn while in office.

Ability to commute/relocate:

  • Rockville, MD: Reliably commute or planning to relocate before starting work (Preferred)

Education:

  • Bachelor's (Required)

Experience:

  • Microsoft Powerpoint: 1 year (Preferred)
  • Adviser Compliance or Regulatory: 2 years (Required)

Work Location:

  • Multiple locations

Work Remotely:

  • Temporarily due to COVID-19
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