Investment Compliance Analyst

Provide support to the overall Compliance Program Strengthen policies including WISP, privacy policy reviews, business continuity, and acceptable use policies Support new compliance initiatives with Compliance Directors Support the Compliance Testing Program, resolve identified issues, and undertake remedial projects Use Compliance Software to manage components of the Compliance Program Develop and document updated policies and procedures as new laws, rules, and best practices develop Suggest and implement improvements to the Stratos Compliance Program in collaboration with team members and management Respond to Compliance inquiries from investment advisory representatives and Stratos departmental team members Perform additional projects and tasks supporting the Stratos Compliance program as assigned Requirements Bachelor’s degree FINRA SIE, Series 7, 24 and 65/66 3–5 years’ experience with an investment advisory firm Ability to communicate compliance requirements effectively to investment advisory representatives Minimal travel required Attention to detail and data organization Proficient with technology Effective written and verbal communication skills Ability to work in a fast-paced, changing environment Collaborative mentality and strong team orientation Core Competencies Demonstrates expertise in Compliance Program management, including policy development and compliance testing. Proficient in communicating compliance requirements and collaborating effectively within a team environment. #J-18808-Ljbffr Jobtailor