The Compliance Analyst supports day-to-day operations for SEC-registered investment advisory firms, including advisor onboarding and marketing material reviews. They are responsible for monitoring regulatory requirements, maintaining accurate records, and assisting with internal and external audits.
The Compliance Analyst supports regulatory compliance programs for SEC-registered investment advisory firms by conducting testing, monitoring, and risk assessments. They also assist with regulatory reporting, due diligence on investment products, and the maintenance of compliance policies and procedures.
