Compliance Analyst

This job is with WTW, an inclusive employer and a member of myGwork – the largest global platform for the LGBTQ+ business community. Please do not contact the recruiter directly.

Description

Do you care about helping colleagues make sound, ethical, and well-controlled business decisions? Are you interested in developing practical compliance expertise while supporting a growing investment advisory business?

WTW is seeking a motivated and detail-oriented Compliance Analyst to join its North America Investments Compliance team. This role provides an opportunity to gain broad exposure to investment adviser compliance while supporting day-to-day compliance operations, regulatory requirements, and strategic business initiatives.

The successful candidate will work closely with Compliance, Legal, Investments, Marketing, Risk, Human Resources, and other business stakeholders to help maintain an effective and risk-based compliance program.

The Role

• Conduct surveillance and review of employee electronic communications, including email and other approved business communications.
• Support administration of the firm's Code of Ethics program, including personal trading reviews, employee certifications, outside business activities, private investments, gifts and entertainment, and other employee disclosures.
• Review marketing materials, client communications, presentations, and other business communications for compliance with regulatory requirements and internal policies.
• Assist with compliance monitoring, testing, surveillance, and annual compliance review activities.
• Support regulatory filings, certifications, and recurring compliance obligations.
• Maintain compliance policies, procedures, logs, and supporting documentation.
• Respond to compliance inquiries and escalate matters as appropriate.
• Assist with compliance reporting, metrics, and management information.
• Support compliance training and employee attestation programs.
• Monitor regulatory developments and assist with implementation of regulatory changes.
• Participate in compliance technology initiatives, workflow enhancements, process improvements, and special projects.
• Assist with compliance support for business initiatives, new products, acquisitions, and integrations.

Qualifications

The Requirements

• Bachelor's degree or equivalent relevant experience.
• Experience in compliance, legal, risk, audit, financial services, investment management, consulting, or a related field is preferred, but not required.
• The ideal candidate will demonstrate strong analytical skills, attention to detail, sound judgment, and an interest in developing a career in investment adviser compliance.
• Excellent written and verbal communication skills.
• Strong organizational skills and the ability to manage multiple priorities and deadlines.
• Ability to identify, document, and appropriately escalate potential compliance concerns.
• Sound judgment and ability to handle confidential information.
• Proficiency in Microsoft Office applications, including Excel, Word, Outlook, and PowerPoint.
• Demonstrated initiative, curiosity, and a willingness to learn.

• Ability to work effectively both independently and within a collaborative team environment.

Preferred

• Experience within an SEC-registered investment adviser, asset manager, broker-dealer, investment consulting firm, or other regulated financial services organization.
• Familiarity with investment adviser regulations, personal trading programs, marketing review requirements, or compliance monitoring activities.

Note: Employment-based non-immigrant visa sponsorship and/or assistance is not offered for this specific job opportunity.

Compensation and Benefits

Base salary range and benefits information for this position are being included in accordance with requirements of various state/local pay transparency legislation. Please note that salaries may vary for different individuals in the same role based on several factors, including but not limited to location of the role, individual competencies, education/professional certifications, qualifications/experience, performance in the role and potential for revenue generation (Producer roles only).

Compensation 

The base salary compensation range being offered for this role is $80,000.00-$95,000.00 USD annually. This role is also eligible for an annual short-term incentive bonus.

Company Benefits 

WTW provides a competitive benefit package which includes the following (eligibility requirements apply):

• Health and Welfare: Mental health/emotional wellbeing (including Employee Assistance Program), medical (including prescription drug coverage and fertility benefits), dental, vision, Health Savings Account, Commuter Accounts, Health Care and Dependent Care Flexible Spending Accounts, company-paid life insurance, supplemental life insurance, AD&D, group accident, group critical illness, group legal, identity theft protection, wellbeing program, adoption assistance, surrogacy assistance, auto/home insurance, pet insurance, and other work/life resources. 
• Leave Benefits: Paid Holidays, Annual Paid Time Off (includes state/local paid leave where required), Short-Term Disability, Long-Term Disability, Other Leaves (e.g., Bereavement, FMLA, ADA, Jury Duty, Military Leave, and Parental and Adoption Leave), Paid Time Off (only included for Washington roles)
• Retirement Benefits: Qualified contributory pension plan (if eligible) and 401(k) plan with annual nonelective company contribution. Non-qualified retirement plans available to senior level colleagues who satisfy the plans’ eligibility requirements.

Pursuant to the San Francisco Fair Chance Ordinance and Los Angeles County Fair Chance Ordinance for Employers, we will consider for employment qualified applicants with arrest and conviction records.

This position will remain posted for a minimum of three business days from the date posted or until sufficient/appropriate candidate slate has been identified.

EOE, including disability/vets