Sr Analyst, Hybrid IA Compliance

Overview Senior Analyst, Hybrid IA Compliance responsible for oversight functions to financial professionals providing investment advisory services to clients through an Independent RIA or dual RIA-affiliated capacity. The role also involves compliance responsibilities such as developing and implementing regular reporting, surveillance reviews, and corrective action under the direction of the Director of IA Compliance Policies, Procedures & Testing. Remote Open to qualified remote applicants in the United States. Location & Type Location: Remote / Hybrid IA Compliance. Role Type: Full-time. Compensation & Benefits Salary: $90,000 - $100,000 per year plus annual bonus. Additional benefits include health, vision, dental insurance, 401(k), paid time away, volunteer days, and more. Responsibilities Support IA Compliance in reviews of investment advisory services provided to clients through an Independent RIA. Support IA Compliance in reviews of services provided through dually RIA-affiliated financial professionals. Partner with Compliance, Supervision, Legal, Operations and other business partners to address inquiries and assist with issue resolution. Work with financial professionals and supervision to gather information as part of internal tasks and procedures. Produce various data capturing tasks and procedures for IA Compliance. Identify and escelage issues to senior management as necessary. Ensure compliance with firm and industry regulations. Identify and share best practices or process improvements. Qualifications Ideal candidate must have a thorough understanding of the securities industry, possess well-developed analytical skills, be highly organized, handle multiple tasks and priorities, work well in a fast-paced collaborative environment, and have excellent interpersonal, troubleshooting and communication skills. Proficiency in MS Excel. Basic Requirements 3-5 years of relevant work experience such as RIA or regulatory agency. Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940, Securities Act of 1933, Securities Act of 1934 and FINRA rules and regulations. Excellent verbal and written communication skills. Must be proficient with MS Office, Word and Excel. Strong abilities in analytical thinking, problem-solving, research, and time management. Ability to think through complex compliance issues. Ability to work on assignments independently, using a high level of judgment and initiative. Preferred Requirements FINRA Series 7, 24, 66, or 65. #J-18808-Ljbffr Advisor Group Inc.