Compliance Analyst
Focus Partners Wealth
St. Louis, MO, USA
Published 2 weeks ago
Compliance Management Systems / Technology
Full time
Position Summary
The Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm's Compliance Program. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and is in compliance with regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource to in-house professionals seeking regulatory guidance. The Compliance Analyst will work to help develop compliance tools and educational training programs for internal professionals allowing these professionals to leverage their valuable time. The Compliance Analyst will assist with necessary regulatory filings and ensure responsibilities are met for each of the firm's associates and entities.
Essential Job Duties and Responsibilities
Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, we work with clients at every stage, helping them control their financial future - whether that's planning for retirement, preparing the next generation, or growing their business. We are dedicated to fostering meaningful growth for our clients. Our team of advisors works collectively to deliver personalized wealth planning strategies across local communities, placing our clients' values, goals, motivations, and priorities at the heart of everything we do.
Focus Partners Wealth is a registered investment advisor with the Securities and Exchange Commission. Registration does not imply any level of skill or training. Additional information about Focus Partners Wealth is also available on the SEC's website at www.advisorinfo.sec.gov.
*This role is Non-Exempt
The annualized base pay range for this role is expected to be between $60,000 - $65,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed and the applicant's skill set. The base pay is just one component of the total compensation package for employees.
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The Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm's Compliance Program. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and is in compliance with regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource to in-house professionals seeking regulatory guidance. The Compliance Analyst will work to help develop compliance tools and educational training programs for internal professionals allowing these professionals to leverage their valuable time. The Compliance Analyst will assist with necessary regulatory filings and ensure responsibilities are met for each of the firm's associates and entities.
Essential Job Duties and Responsibilities
- Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies
- Independently be responsible for and perform or oversee the majority of the compliance testing (transactional, periodic and forensic) of the firm's Compliance Program
- Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict
- Assist in the development of internal compliance controls
- Be a subject matter resource in using compliance support technologies, such as Global Relay, ACA Compliance Alpha and Basis Code
- Maintain a proficiency for working within various technology systems (CRM, Portfolio & Accounting, etc.) utilized by the Firm for compliance purposes
- Independently be responsible for drafting and submitting regulatory filings through the IARD/CRD system
- Have a strong knowledge of Investment Advisers Act of 1940
- If applicable, have a strong working knowledge of the Investment Company Act of 1940
- Serve as a liaison orprimary contact for other departments or area of oversight
- 1-2 years of compliance, regulatory, or audit experience in the financial industry
- Bachelor's degree in business or related field of study
- Microsoft Excel & Word
- Ability to utilize CRM system, such as Salesforce
- Strong problem solving and decision-making skills
- Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data
- Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving
- Extensive knowledge of the Investment Advisers Act of 1940, as amended
- Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management
- Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills
- Willing and able to learn and analyze securities laws
- Impeccable and unquestioned integrity and trust
- Trustworthy
- Capability to handle sensitive or confidential information and maintain confidentiality of that information
- Ability to work independently and be proficient at multi-tasking
- The individual will have demonstrated sound business judgment by developing and implementing compliance solutions that are effective and aligned with regulatory expectations and business needs and realities
Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, we work with clients at every stage, helping them control their financial future - whether that's planning for retirement, preparing the next generation, or growing their business. We are dedicated to fostering meaningful growth for our clients. Our team of advisors works collectively to deliver personalized wealth planning strategies across local communities, placing our clients' values, goals, motivations, and priorities at the heart of everything we do.
Focus Partners Wealth is a registered investment advisor with the Securities and Exchange Commission. Registration does not imply any level of skill or training. Additional information about Focus Partners Wealth is also available on the SEC's website at www.advisorinfo.sec.gov.
*This role is Non-Exempt
The annualized base pay range for this role is expected to be between $60,000 - $65,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed and the applicant's skill set. The base pay is just one component of the total compensation package for employees.
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