Compliance and Oversight Analyst Sr

As a Senior Compliance and Oversight Analyst, you will assist in the execution of an effective Compliance and Oversight Program to assure Private Wealth Management maintains the required level of compliance set forth by the SEC. 

This is a hybrid position, working from home Fri., and working in the office Mon., Tues., Wed. & Thur. 

How you will spend your time: 

• You will develop an understanding of the laws and regulations applicable to Private Wealth business strategies, products, services, and processes. 

• You will provide suggestions to improve policies/procedures, business practices, and/or compliance related controls. 

• You will become a supportive resource for questions related to current policies and procedures. 

• You will assist in the documentation and maintenance of the department’s policies and procedures. 

• You will conduct quality control (QC) testing to determine effectiveness of business processes and adherence to policies, procedures, and regulatory requirements (First Line of Defense). 

• You will assist with internal and external regulatory inquiries, examinations, and other compliance related audits. 

• You will develop and deliver training for line of business, communicating policies and compliance requirements. 

• You will assist with resolving escalated or complex issues. 

• You will execute the Code of Ethics program for Private Wealth Management associates. 

• You will be responsible for processing regulatory filings. 

• You will review and approve the department’s marketing and advertising materials. 

• You will partner with Legal, Corporate Compliance, other lines of business and Leadership as needed. 

• Other duties as assigned. 

We’re excited to talk with you if: 

• You have working knowledge of the Investment Company Act of 1940, as well as Securities Act of 1933, Securities Exchange Act of 1934, and related rules, regulations, guidance. 

• You demonstrate proficiency in identifying and assessing compliance risks and recommending appropriate strategies to mitigate risk for a RIA (Registered Investment Advisor). 

• You are proficient in documenting business policies, and procedures. 

• You demonstrate excellent written and verbal communication, organizational, problem solving, and decision-making skills. 

• You demonstrate ability to define problems, collect data, establish facts, and draw valid conclusions. 

• You have excellent time management skills and the ability to work independently.  

• You show proficiency of Microsoft Office Suite (Word, Excel, PowerPoint, SharePoint). 

• You have the ability to adapt and work within multiple business support systems.