Reports to: Chief Compliance Officer
Department: Compliance
Status: Full-time/Exempt

Position Summary
The Compliance Analyst will assist the Chief Compliance Officer (CCO) in keeping our registered investment
advisory firm compliant with federal securities laws through establishing and enforcing controls, best practices,
and ethical standards. This position will assist in implementing and coordinating the compliance functions
throughout CreativeOne Wealth. The Compliance Analyst will use knowledge and skills obtained through
education, specialized training and/or certification to assist the CCO in supervising a comprehensive compliance
and oversight program designed to ensure compliance with all applicable regulatory requirements.
Duties and Responsibilities include, but not limited to:

• Supervision of IARs’ (Investor Adviser Representative) electronic communications, personal trading,

• Escalate and address potential policy violations with IARs as identified through supervision activities.

• Lead planning, preparation, and execution of IAR branch exams.

• Enhance and maintain the organizational and record-keeping processes that enable timely and accurate

• Assist in the collection and analysis of data for regulatory reporting, disclosures, and inquiries.

• Perform annual and quarterly testing and reviews in support of annual 206(4)-7 requirements.

• Research and analyze relevant regulation, information, and resources to ensure firm policies and

• Review and recommend updates to the firm’s compliance policies and procedures s, including the Code of

• Serves as an internal liaison to address ad hoc compliance operational questions and issues

• Strong work ethic and hands-on approach.

• Positive attitude.

• Adaptability to a frequently evolving work environment.

• Customer and business-centric and collaborative mindset.

• Proven ability to communicate effectively at all levels of an organization.

• Strong organizational skills and confirmed ability to set and meet deadlines in a high paced environment.

• Advanced analytical skills, including demonstrated experience identifying and quantifying problems and

• Excellent project-management skills, with creative techniques to coordinate across departments and

functions.

• Well-versed in the art of drafting procedures and evaluating internal controls.

Our Core Values
• Provide Unreasonably Excellent Service

• Love What We Do

• Act with Integrity

• Collaborate Courageously

• Evolve with Purpose

Preferred Background/Experience

• BA/BS or equivalent experience

• FINRA licenses 65 or 7.

• Minimum of 5 – 7 years' professional experience as a compliance professional at a broker-dealer,

• Deep knowledge of SEC regulations and the Investment Advisers Act of 1940; working knowledge of the

• Familiarity with set up and administration of email surveillance tools, such as Smarsh, as well as

This description covers the major purpose and major functions of the job. It is not intended to give all details or a step-by-step
account of the way each task is to be performed. Employees may receive other job-related instructions and be required to
perform other job-related duties requested by their supervisor. All requirements are subject to possible modification to provide
reasonable accommodation to qualified individuals with disabilities.
CreativeOne provides equal employment opportunities to all employees and applicants for employment and prohibits
discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status,
genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by
federal, state or local laws.