1 Compliance Analyst Job in Beachwood, OH
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Stratos Wealth Partners is Hiring a Compliance Analyst Near Beachwood, OH
Description
We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:
Provide support to the Compliance Testing Program
- Review activity to ensure that it falls within established risk control limits
- Assess activity for existing and emerging risks. Evaluate the materiality of risks identified and work with members of the Compliance Team to develop recommendations for risk mitigation
- Timely execute the Firm’s Compliance Calendar
- Review compliance and other reports to identify deeper issues and common themes. Recommend corrective action as necessary
Periodically review and update investment advisory compliance policies and procedures
- Effectively communicate policies/procedures to key constituents
Utilize Compliance Software to manage components of the Compliance Program
Work with Compliance and Other Teams to onboard new advisors to Stratos, collecting all required documentation
Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions
Additional Responsibilities
- Complete assigned Branch Exams with all appropriate write-ups and follow ups
- Respond to incoming Compliance inquiries from investment advisory representatives
- Perform additional projects and tasks in support of the Stratos Compliance program as assigned
Requirements
Skills / Key Competencies Required:
- · Bachelor’s degree
- · FINRA SIE, Series 7, 24 and 65/66
- · Attention to Detail / Data Organization
- · Proficient with technology
- · Effective communication skills, written and verbal
- · Ability to work in a fast-paced, changing environment
- · Collaborative mentality; strong team orientation
Securities offered through LPL Financial, member FINRA/SIPC. Investment advice offered through Stratos Wealth Partners, Ltd., a registered investment advisor and a separate entity from LPL Financial.
Job Summary
Full Time
Investment Management
09/30/2022
11/03/2022
stratoswealthpartners.com
CAMAS, WA
50 - 100
2008
Private
TED ERICKSON
$10M - $50M
Investment Management
Related Companies
About Stratos Wealth Partners
SWP provides financial advisory services for individuals and businesses.
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