Investment Advisory Compliance Analyst

Advisory Services Network, LLC is an SEC registered investment advisory firm comprised of a dedicated staff who work together to build unrivaled partnerships with our investment professionals. We currently support 151 offices across the United States and are rapidly increasing. We are a multi-custodial firm and clear through all of the major custodial platforms. Our unique culture puts our investment professionals and their clients at the heart of everything we do.

Position Summary

Your position, as a Compliance Surveillance Analyst, is to support the Chief Compliance Officer in all aspects of the firm’s risk and compliance program and provide operational and administrative support. Your knowledge of firm policies, procedures and regulatory requirements allows you to perform, analyze and/or facilitate specific components of the compliance monitoring program. You will work independently and in conjunction with other members of the firm’s compliance and operations team to help mitigate risk to the firm and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.

Key Tasks

• Under the direction of the CCO, conduct compliance reviews to evaluate and test for compliance with applicable

rules and regulations, policies and procedures. Provide written reports of findings.

• Review daily exception reports and alerts and process accordingly
• Proactively review Financial Advisor email communications and escalate any concerns to the CCO
• Interact with Compliance Team and advisors to help resolve potential compliance issues
• Review Financial Advisor attestations and reports
• Pay close attention to detail, process work accurately
• Interpret impact of new regulation on existing and future communication and contribute to compliance policy development.
• Proactively develop self to continuously improve knowledge and skills and communicate development needs to the CCO as applicable
• Create a strong working relationship with advisors and their assistants

Skills and Experience Required

• 1-3 years of investment advisory or FINRA member broker/dealer compliance experience
• Understanding of the regulatory environment with respect to investment advisers, including the Investment Advisers Act of 1940
• Excellent skills in Microsoft Office Suite and other technologies
• Detail and service oriented with proven organizational skills, able to manage time efficiently and can multi-task
• Proven written and verbal communication skills
• Ability to work both independently and collaboratively
• Learning agile, able to adapt quickly and appropriately with the evolution of regulatory requirements

Benefits

• Medical, Vision and Dental Insurance
• Prescription Drug Coverage / 401(k) Profit Sharing Plan / Paid Vacation and Holidays
• Life Insurance / Accidental Death and Dismemberment
• Voluntary Life, AD&D options, Long-Term Disability and Flexible Spending Accounts
• Domestic Partner Program

Please submit resumes to Recruitment@advservnet.com