Compliance Analyst

Description

The Compliance Analyst will report to the firm’s Chief Compliance Officer and support the firm’s efforts in complying with the laws and rules affecting broker-dealers and registered investment advisers. This role will support the Compliance Team and daily compliance functions across the firm with a particular focus on the systems and data used to ensure compliance with firm policies and practices. The ideal candidate will have baseline experience with the desire to grow in the compliance field. This role will be exposed to several corporate departments and will assist in cross-departmental efforts with Risk and Audit, Supervision, Operations, and our branch offices. The Compliance Analyst will be based in the firm’s Richmond, VA headquarters.

Position Responsibilities

• Assist with all compliance and regulatory matters governed by SEC, FINRA, ERISA, and other various federal and state securities and privacy laws;
• Assist with the implementation, maintenance, and daily surveillance of various compliance supervision systems, and a vendor management system;
• Manage firm and employee securities registrations and licensing, including examination preparation and regulatory reporting obligations, with the applicable federal, state, and regulatory organizations;
• Assist Risk & Audit division with entry-level audit support (e.g., data collection, aggregation, and analysis), branch/office examinations, and other ad hoc testing;
• Ability to design and generate reports documenting adherence to firm requirements and processes for clients and employees;
• Review home office associates’ electronic correspondence and social media as delegated;
• Assist in the maintenance, monitoring and updating of the firm’s broker-dealer and investment advisory policies and procedures manual;
• Develop and maintain firm client facing and internal forms and documents, including e-delivery documents;
• Assist in the implementation process for regulatory rule implementation/updates, policy changes and amendments and procedural revisions, including technology and internal controls enhancements, training needs assessments and communication strategies;
• Support Compliance Team in responding to regulatory examinations, sweeps and inquiries from regulators, auditors, and other third parties;
• Assist in design and preparation of meeting and training presentation materials; and
• Manage and maintain the Compliance intranet page for Compliance Team.
  
  

Requirements

Professional Experience and Personal Attributes

• 2 -3 years of professional experience preferred;
• Experience in securities/operations/compliance or similar areas preferred, but not required;
• Bachelor’s degree in Business, Economics, Accounting, Finance or related field preferred—or equivalent experience;
• Proficient in PowerPoint and Excel-- with database and programming languages (e.g., Python, SQL, etc.) experience as a plus;
• Active FINRA SIE, Series 7 registrations-- or ability to obtain over time preferred;
• Attention to detail, accuracy and professional quality on all written documents and correspondence;
• Excellent verbal and written communication and interpersonal skills and ability to communicate professionally and effectively with all levels of external contacts and internal firm associates;
• Ability to be proactive and quickly assess a situation and conceptualize a correct solution;
• Ability to manage and organize large amounts of detail;
• Ability to work effectively on multiple projects simultaneously with shifting priorities;
• Ability to work both independently and in a team environment;
• Ability to take initiative on tasks and wear many hats/handle various roles in a small company environment; and
• Ability to collaborate and maintain strong working relationships with home office colleagues, branch personnel, and external vendors, regulators and others.