Compliance Analyst - IA Administration

Advisor Group•Atlanta, GA

7d•Hybrid

About The Position

The Investment Advisory Compliance Analyst supports the Investment Advisory Compliance Administration Team by serving as the primary point of contact for financial advisors, advisor support staff, and internal business partners. This role is responsible for responding to compliance-related inquiries, assisting with administration of the compliance policy and procedures. The ideal candidate is highly organized, detail-focused, and able to work effectively in a collaborative team environment.

Requirements

Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
Excellent verbal and written communication skills.
Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook).
Strong abilities in analytical thinking, problem solving, research, and time management.

Nice To Haves

Prior Customer Service experience
FINRA Series 7, 24 66 or 63/65) a plus.
Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933.

Responsibilities

Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters.
Provide guidance and support on routine compliance questions, policies, and procedures, and administrative processes.
Assist with the review, maintenance of Form ADV Part 2B Brochure Supplements.
Support the onboarding and maintenance of Investment Advisor Representatives (IARs).
Coordinate with Compliance Operations, Supervision, Legal and other internal departments to resolve advisor inquiries and support business initiatives.
Monitor assigned workflows and ensure tasks are completed accurately and within established service standards.
Review/update desktop procedures when necessary.
All other duties as assigned.