Investment Compliance Analyst

April 9

🤠 Texas – Remote

Although this job is listed in Texas, this company may be open to hiring remote in other states.

💵 $85k - $95k / year

⏰ Full Time

🟡 Mid-level

🟠 Senior

💸 Financial Planning and Analysis

🦅 H1B Visa Sponsor

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OneDigital

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OneDigital is a company that specializes in providing insurance, financial services, and HR consulting solutions. By leveraging technology and innovation, OneDigital aims to transform complex and inefficient landscapes through business automation, APIs, product development, and AI. Their services include employee benefits consulting, property and casualty insurance, retirement plan administration, and wealth management. OneDigital is committed to diversity, equity, inclusion, and belonging within its corporate culture and offers a range of services aimed at helping businesses and individuals achieve their aspirations of health, success, and financial security.

Employee Benefits • Health and Ancillary Benefits • Acquisitions • Dental / Vision • Consulting

1001 - 5000 employees

Founded 2000

💸 Finance

👥 HR Tech

📋 Description

• Seeking an experienced Compliance Analyst for investment compliance surveillance and reporting • Responsible for compliance oversight with respect to investment activities • Maintain investments surveillance and testing program • Perform ongoing surveillance, testing and analysis of trading activity • Work with stakeholders to correct confirmed violations • Prepare reports for compliance and investment committees • Assist in annual testing of compliance policies • Develop and maintain good working relationships with partners • Stay current on relevant regulations and best practices

🎯 Requirements

• Good understanding of various security types (equities, bonds, options, mutual funds, etc.) • Understanding of prohibited activities under Investment Advisers Act and ERISA • Understanding of fiduciary governance principles • Ability to interpret new laws' impact on investments • Self-motivated with excellent time and project management skills • Strong communication skills (verbal/written) • High attention to detail and strong problem-solving skills • Ability to handle confidential information discreetly • Proficiency with Microsoft Office Suite • Ability to manipulate raw data for analysis • Adaptability to changing environments • Continual learner mentality

🏖️ Benefits

• Health benefits • Wellbeing benefits • Retirement benefits • Paid time off • Overtime pay for non-exempt employees • Robust learning and development programs • Job-related expense reimbursement • Employee perks and discounts