Match score not available

Compliance Analyst

Remote:

Full Remote

Contract:

Full time

Work from:

United States

Offer summary

Qualifications:

Skilled in problem-solving and analytical thinking, Strong multitasking abilities across projects, Proficient in Microsoft Office Suite, Experience with FINRA/IARD and SEC’s EDGAR, Ability to work in a collaborative environment.

Key responsabilities:

Assist clients with regulatory obligations
File amendments and process applications
Coordinate with state and SEC regulators
Submit SEC EDGAR filings and manage other requests
Provide support to the Regulatory Filings team

COMPLY Financial Services SME https://www.comply.com/

201 - 500 Employees

See more COMPLY offers

Job description

Your missions

We are COMPLY.

For compliance people.

We pride ourselves on being the champion for compliance professionals. Merging technology, consulting and education, we help clients navigate the ever-changing regulatory environment. We serve more than 7,000 clients globally, through our solutions including ComplySci, RIA in a Box, National Regulatory Service (NRS) and illumis. We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000, Institutional Asset Manager Awards, Private Equity Wire Awards, and the Women in Data & Technology Awards.

COMPLY is made up of 350+ professionals worldwide. In the US alone, we have team members in 45 states. Employees of COMPLY have access to comprehensive benefits, unlimited PTO, paid bonding leave and 100% remote work flexibility with a WFH stipend.

Come join our team of talented innovators working together to forge the next generation of compliance.

To learn more about COMPLY, visit COMPLY.com.

COMPLY is seeking a Compliance Analyst to join our growing team! Reporting into our VP of Regulatory Affairs, this person will be responsible for assisting in a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.

Responsibilities:

Assist investment advisers and other financial services firm customers with regulatory obligations.

File annual updating amendments and other-than-annual amendments for Form ADV.

Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.

Coordinate with state and SEC regulators to secure registration for customer firms.

Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.

Handle Form D and blue sky filings for private funds.

Complete Form PF for hedge fund, private equity, and venture capital advisers.

Review disciplinary matters affecting customers for proper DRP disclosure.

Coordinate with COMPLY’s internal compliance experts, client services representatives, and other departments.

Attend team meetings and provide regular reporting to supervisor.

Work with COMPLY’s proprietary software, including MyRIACompliance and ComplianceGuardian.

Support remote team by clarifying and helping resolve complicated customer matters.

Assist your Regulatory Filings team with various other tasks as assigned.

Qualifications:

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.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.