Wealth Management Compliance and Oversight Sr. Analyst

As the Senior Compliance and Oversight Analyst, you will assist in the execution of an effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. This is a hybrid position, working from home Mon. & Fri., and working in the office Tues., Wed. & Thur.  

How you will spend your time: 

• Develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes. 

• Provide suggestions to improve policies/procedures, business practices, and/or compliance related controls. 

• Become a supportive resource for questions related to current policies and procedures. 

• Assist in the documentation and maintenance of the department’s policies and procedures. 

• Conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense). 

• Assist with internal and external regulatory inquiries, examinations, and other compliance related audits. 

• Develop and deliver training for line of business, communicating policies and compliance requirements. 

• Assist with resolving escalated or complex issues. 

• Execute the Code of Ethics program for Private Wealth Management associates. 

• Responsible for processing regulatory filings. 

• Reviews and approve the departments marketing and advertising materials. 

• Partner with Legal, Corporate Compliance, other lines of business and Leadership as needed. 

• Other duties as assigned. 

We’re excited to talk with you if: 

• You possess a bachelor’s degree in relevant field or combination of education and experience that provides an equivalent background. 

• You have 5+ years of applicable experience within Financial Services. 

• You have regulatory compliance experience with a Registered Investment Advisory Firm. 

• You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance. 

• You demonstrate proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor). 

• You have proficiency in documenting business policies, and procedures. 

• You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills. 

• You demonstrate ability to define problems, collect data, establish facts, and draw valid conclusions. 

• You show excellent time management skills and the ability to work independently. 

• You are proficient in the Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint). 

• You have the ability to