Compliance Analyst

Analyst PositionDC Advisory seeks an analyst to work alongside the Firm's legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory workstreams and the chance to be part of larger strategic discussions around the Firm's compliance processes on a forward-looking basis. The role will play an important part in helping prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies and is a key part of the Firm's focus on promoting a high standard of ethics, professionalism and accountability internally. Some of the key workstreams would include:Providing guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, Gifts/Entertainment, etc.Preparing and submitting regulatory filings with FINRA (such as Form U4s and U5s) and assisting with regulatory examinations, inquiries, investigations and projects in tandem with the legal team, as necessary.Reviewing and approving employee compliance-related requests in the internal compliance system (e.g. gifts/entertainment, political contributions, and private investments).Managing key elements of the personal trading program, including account disclosures, pre-approval requests and reconciliations.Supporting employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.Supporting compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.Position Requirements:Education: Bachelor's degree is requiredExperience: At least two (2) years of experience working in a compliance position and a strong interest in acting in a compliance role within the highly regulated financial services industrySound judgment, discretion and a strong commitment to confidentiality and professionalismPreferred:Exposure to regulatory compliance or risk management within the financial services sectorExperience with the FINRA regulatory frameworkQualities we seek include:Personal integrity, initiative and leadership qualitiesStrong multi-tasking and time management skillsAn unwavering commitment to excellence and a high degree of maturityA high level of initiative, motivation, attention to detail, positive attitude, and the ability to excel in a fast-paced, entrepreneurial, high performance work environmentAn outstanding academic recordThe ability to work as part of a team in an environment that demands excellence, time and energyStrong quantitative, verbal and written communication skills; familiarity with the financial services industry a plusHighly proficient with Microsoft Office suiteCompensation & Benefits:Salary Range: $80,000 - $100,000 + annual discretionary bonusMedical / Dental / Vision InsuranceLong Term Disability, Short Term Disability, Life InsurancePet InsuranceHealth Savings AccountRetirement Plans (401K)Pre-Tax Commuter BenefitsWorking Arrangement:Please note this position will operate in a hybrid capacity with four days on-site in our office (Monday - Thursday) with the option to work from home on Fridays.Equal Opportunity Employer This employer is required to notify all applicants of their rights pursuant to federal employment laws. For further information, please review the Know Your Rights notice from the Department of Labor.