Compliance Analyst

June 21

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COMPLY

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At COMPLY, we pride ourselves on being the champion for compliance professionals$1. .$1

201 - 500

Description

• Assist investment advisers with regulatory obligations. • File annual updating amendments for Form ADV. • Process applications for new representatives including Form U4. • Coordinate with state and SEC regulators for customer registration. • Submit various SEC EDGAR filings. • Handle Form D and blue sky filings for private funds. • Complete Form PF for hedge fund advisers. • Review disciplinary matters for proper DRP disclosure. • Coordinate with internal compliance experts and client services. • Attend team meetings and provide reporting to supervisor. • Work with proprietary software including MyRIACompliance. • Support remote team in resolving customer matters. • Assist Regulatory Filings team with other assigned tasks.

Requirements

• 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.

Benefits

• Comprehensive benefits • Unlimited PTO • Paid bonding leave • 100% remote work flexibility • WFH stipend