Compliance Analyst

Compliance Analyst

Realty Income aims to be a globally recognized leader in the S&P 100, committed to creating long-term value for all stakeholders. These stakeholders include our dedicated team members, who embody our purpose: building enduring relationships and brighter financial futures. This guiding principle serves as a beacon for our team, influencing every action we take. Our employees consistently invest their time, commitment, and dedication into the company, and in turn, they receive investment returns in the form of purpose, belonging, and opportunities for advancement. We are committed to best-in-class corporate responsibility practices through environmental initiatives, governance programs, and community outreach projects. From the boardroom to the breakroom, our team members make a difference every day.

Job Summary

The Compliance Analyst supports the firm's regulated compliance program with a focus on personal compliance requirements, including personal account dealing and outside business activities under the U.S. Investment Advisers Act of 1940 and related SEC rules, as well as other applicable financial regulations.

This role assists with the day-to-day administration of the personal compliance program and supports the implementation, testing, and monitoring of policies and procedures designed to prevent violations of federal securities laws. The Compliance Analyst works closely with the Global Head of Compliance (Chief Compliance Officer), the Senior Director, and employees across the organization globally to help navigate personal compliance obligations.

What You'll Be Working On

Compliance Program Administration

• Support the daily administration of the firm's personal compliance program
• Assist with the implementation, testing, and monitoring of compliance policies and procedures
• Maintain discretion and confidentiality when handling sensitive personal and corporate information

Compliance Software & User Support

• Manage compliance software user accounts and permissions for new joiners, movers, and leavers
• Demonstrate and support use of the compliance platform for employees
• Obtain user consents and support broker account connections
• Triage and route system queries to appropriate Compliance & Ethics team members

First-Line Compliance Advisory

• Explain basic personal compliance requirements to employees across all levels and global locations
• Respond to standard personal compliance questions using established guidance and flowcharts
• Escalate complex issues to the Senior Director for review and resolution

Training & Ongoing Support

• Assist with employee compliance training initiatives, including onboarding and periodic regulatory training
• Serve as a point of contact for questions related to the compliance platform and personal compliance requirements

Regulatory Monitoring & Reporting

• Prepare reports and data from the compliance system to support personal compliance audits
• Collect data for audits and information requests from regulators, Internal Audit, or external compliance consultants
• Log identified breaches and provide supporting data for preparation of Notes to File

Certifications, Complaints & Filings

• Monitor and follow up on employee completion of initial certifications, quarterly holdings reports, and annual certifications
• Track and maintain complaint records and the complaints register
• Prepare regulatory filings, including Form ADV, for review by the Senior Director

Collaboration & Communication

• Communicate regularly with the CCO, Senior Director, and compliance colleagues to coordinate compliance activities
• Participate in Compliance and Legal Department meetings
• Liaise with third-party service providers to resolve compliance platform issues
• Coordinate with internal departments for audits and annual compliance reviews

Qualifications

Qualified candidates are typically expected to have:

• 2+ years of relevant professional experience within a Compliance department of a regulated business
• Prior involvement with personal compliance programs, including conflicts of interest, personal account dealing, political contributions, and gifts and entertainment
• Knowledge of personal investments and financial products, including stocks, funds, and derivatives
• Strong respect for privacy and confidentiality
• Ability to train users on new systems and provide empathetic, high-quality internal customer service
• Excellent computer skills, including Outlook, Word, Excel, Adobe, and SharePoint
• Ability to manage multiple priorities and adapt to changing tasks
• Understanding of the Investment Advisers Act of 1940 or comparable compliance regimes is beneficial
• Strong verbal and written communication skills, with the ability to work autonomously and seek guidance as needed

Nice to Have

• Certified Securities Compliance Professional (CSCP) designation from the National Society of Compliance Professionals
• Paralegal Certificate from an ABA-approved institution

This hybrid position is based in our San Diego (Del Mar area) headquarters. Monday through Thursday is in-office for collaboration, with the opportunity to work remotely on Friday.

The hourly rate for this role is $28.21 - $32.07 - $39.32.

Offers near the high end are uncommon but may be considered for candidates with exceptional experience and skills and are dependent on the facts and circumstances of each case. You may be eligible for an annual discretionary bonus and an annual discretionary stock award, to be discussed during the interview process. An annual pay rate and total compensation package is generally determined by the candidate's experience, knowledge, education, skills, performance, and abilities, as well as internal equity, company performance, and alignment with market data. We offer a best-in-class benefits package that includes healthcare, dental, and vision insurance for employees and eligible dependents. Our 401(k)-retirement plan has a company match of 50% up to 6% of eligible compensation. Realty Income also offers other wellness, financial, and work/lifestyle-specific benefits, along with a generous PTO accrual; in addition to 12 paid holidays, and paid volunteer time. Realty Income's purpose is to build enduring relationships and brighter financial futures, and this starts with you! Realty Income is an Equal Opportunity Employer. We celebrate diversity and are committed to creating an inclusive environment for all employees. If you require accessibility support to submit your application or other reasonable accommodations to participate in the recruitment process, please contact View email address on click.appcast.io, or call View phone number on click.appcast.io. An employee will respond to your message to begin the interactive process. Please note that this phone number and email address are only for individuals seeking a disability accommodation when applying for a job.