The compliance analyst is a nerd that LOVES all things compliance and helping firms improve their compliance programs. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves working in the background, collaborating when needed, and holds themselves to a high standard of work product and professionalism.

The successful candidate will:

• Support compliance manager
• Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H)
• Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
• Review disciplinary matters 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- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
• Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating
• Understand 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

Experience and Qualifications Required:

• Extensive previous experience with Form ADV and other regulatory documents
• Someone fanatical about client experience with dedication to client responsiveness
• Passion for working in a fast-paced, small company environment
• Solution-oriented mindset
• RIA regulatory and/or NASAA experience
• Excellent written, organizational, and follow-up skills
• At least 4 to 7 years working for an RIA or law firm serving RIAs

Other Skills Required:

• Attention to detail, with the ability to analyze data, identify trends and escalate matters 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

BENEFITS:

We offer a competitive benefits package including medical, dental, and vision coverage, 401(k) with employer match, permanently remote position, all-expense paid firm retreats, and robust PTO and time off policy.

We are a fast-growing virtual law firm looking to help more advisers and independent financial services companies.