COMPLYis seeking a Compliance Analyst to join our growing team! Reporting into our VP of Regulatory Affairs, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.
Responsibilities:
- Assist investment advisers and other financial services firm customers with regulatory obligations.
- File annual updating amendments and other-than-annual amendments for Form ADV.
- Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
- Coordinate with state and SEC regulators to secure registration for customer firms.
- Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
- Handle Form D and blue sky filings for private funds.
- Complete Form PF for hedge fund, private equity, and venture capital advisers.
- Review disciplinary matters affecting customers for proper DRP disclosure.
- Coordinate with COMPLY’s internal compliance experts, client services representatives, and other departments.
- Attend team meetings and provide regular reporting to supervisor.
- Work with COMPLY’s proprietary software, including MyRIACompliance and ComplianceGuardian.
- Support remote team by clarifying and helping resolve complicated customer matters.
- Assist your Regulatory Filings team with various other tasks as assigned.
Qualifications:
- Skilled in problem solving and analytical thinking.
- Ability to multitask in performing complex responsibilities across multiple projects.
- Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
- Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
- Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
- Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
- Exceptional organizational and time management skills.
$60,000 – $70,000 a year
Share
Facebook
Twitter
LinkedIn
Telegram
Tumblr
WhatsApp
VK
Mail