What are the responsibilities and job description for the Junior Compliance Analyst position at AD Mortgage LLC?
At AD Mortgage, we’ve been helping clients achieve their homeownership dreams for over 20 years — and we couldn’t do it without our team.
With more than 400 passionate professionals (and growing!), we’ve built a culture rooted in collaboration, continuous growth, and shared success.
Join a company that listens to your voice, invests in your development, and celebrates every win — big or small.
Your future starts here. Let’s grow together.
Overall Responsibilities
The Junior Compliance Analyst supports the Compliance Department in maintaining and monitoring the firm’s regulatory compliance program. This role assists in ensuring adherence to applicable laws, regulations, and internal policies governing registered investment advisers, including SEC and state regulatory requirements.
The position provides an excellent opportunity for an early-career professional to gain experience in investment advisory compliance, regulatory filings, and internal controls.
Key Responsibilities
Regulatory Compliance Support
Join Us: Click on the following links to explore our social media to get a sense of our rich corporate culture:
YouTube
Instagram
TikTok
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.
With more than 400 passionate professionals (and growing!), we’ve built a culture rooted in collaboration, continuous growth, and shared success.
Join a company that listens to your voice, invests in your development, and celebrates every win — big or small.
Your future starts here. Let’s grow together.
Overall Responsibilities
The Junior Compliance Analyst supports the Compliance Department in maintaining and monitoring the firm’s regulatory compliance program. This role assists in ensuring adherence to applicable laws, regulations, and internal policies governing registered investment advisers, including SEC and state regulatory requirements.
The position provides an excellent opportunity for an early-career professional to gain experience in investment advisory compliance, regulatory filings, and internal controls.
Key Responsibilities
Regulatory Compliance Support
- Assist in the administration of the firm’s compliance program in accordance with SEC and state investment adviser regulations, including the Investment Advisers Act of 1940.
- Support the monitoring of compliance with internal policies, procedures, and the firm’s Code of Ethics.
- Assist in preparing compliance documentation for regulatory examinations and internal audits.
- Conduct daily, weekly, and monthly compliance monitoring tasks.
- Review employee personal trading reports and monitor adherence to personal trading policies.
- Assist in monitoring marketing materials, communications, and client correspondence for regulatory compliance.
- Assist with preparation and maintenance of regulatory filings including:
- Form ADV updates
- Regulatory questionnaires
- Compliance certifications
- Maintain accurate records in accordance with SEC recordkeeping requirements.
- Support periodic compliance testing and internal reviews of firm procedures.
- Assist with risk assessments and testing of compliance controls.
- Help administer compliance training for employees.
- Maintain compliance manuals, policies, and procedures.
- Assist in updating compliance documentation as regulations evolve.
- Monitor regulatory developments and assist in evaluating their impact on firm policies.
- Conduct research on regulatory requirements and industry best practices
- Sound judgement, problem solving and decision-making skills.
- Possess strong personal computer skills including experience in Microsoft Windows, Excel, Word, and Outlook.
- Excellent communication skills, both verbal and written.
- Enthusiasm for providing customers with the best possible service.
- PTO/Sick Days
- Comprehensive medical, dental, vision benefits
- Paid volunteer hours
- Life Insurance, Short-term Disability, and Long term Disability
- Health Savings Account
- 401k
- Paid training and career development
- Career Growth: As part of a growing and evolving company, you will have ample opportunities to develop your career, take on new challenges, and make a significant impact.
- Inclusive Culture: We are committed to fostering a diverse and inclusive workplace where all employees feel valued and empowered. We celebrate unique perspectives and believe diversity drives innovation.
- Cutting-Edge Technology: Access state-of-the-art learning tools and technologies to enhance your own professional development and that of the entire organization.
Join Us: Click on the following links to explore our social media to get a sense of our rich corporate culture:
YouTube
TikTok
We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.