Compliance - Compliance Analyst Senior

Kestra Financial • Austin, TX

2d

About The Position

Lead with Purpose. Partner with Impact. As an RIA Compliance Analyst, you will report to the Manager of RIA Compliance. You will have or obtain sound knowledge of Advisory Rules and Regulations, including a working knowledge of the Investment Advisers Act of 1940. You will be involved with the continued development of our compliance program to ensure adherence to the Advisers Act and applicable regulations. What You'll do Be a compliance resource to advisors, their staff, and internal partners Review exception reports to identify, propose, and implement corrective action Investigate alleged violations as identified or referred to Compliance by different internal sources Provide data analysis to support different programs, including annual ADV filings, regulatory exams, and inquiries Review all requests requiring compliance approval Develop exception reporting Participate in special projects according to requests from senior management or necessitated by current events Provide input for process improvement

Requirements

• Industry experience
• Understanding of advisory services
• Prioritization
• Organization
• Microsoft Excel (can maintain complex spreadsheets)
• FINRA Series 7
• FINRA 24 or to obtain within 90 days

Responsibilities

• Be a compliance resource to advisors, their staff, and internal partners
• Review exception reports to identify, propose, and implement corrective action
• Investigate alleged violations as identified or referred to Compliance by different internal sources
• Provide data analysis to support different programs, including annual ADV filings, regulatory exams, and inquiries
• Review all requests requiring compliance approval
• Develop exception reporting
• Participate in special projects according to requests from senior management or necessitated by current events
• Provide input for process improvement

What This Job Offers

• Job Type: Full-time
• Career Level: Senior
• Education Level: No Education Listed
• Number of Employees: 101-250 employees