Compliance Analyst

FEG Investment Advisors • Cincinnati, OH

1d • Onsite

About The Position

The Compliance Analyst provides support for FEG’s compliance program, the CCO, and management. The Compliance Analyst assists in the development, implementation, testing, and maintenance of the ongoing compliance programs. The analyst will assist in monitoring risks, irregularities or indications of potential issues. The analyst will keep the CCO informed of potential issues or violations of securities laws or policies and procedures of FEG. The Compliance Analyst assists the compliance team with its core compliance functions such as regulatory filings, compliance testing, code of ethics administration, policy and procedure maintenance, marketing reviews, vendor oversight, and compliance training. They help identify risks and control gaps and collaborate on reporting findings and recommending solutions. This position also offers growth opportunities for individuals who enjoy hands-on work, value collaboration, and work alongside talented and seasoned professionals.

Requirements

• Bachelor’s degree in finance or accounting is preferred
• 1-3 years of work experience in compliance, internal audit, or operations at an investment advisory firm
• One or more years of experience with SEC’s Investment Advisers Act of 1940 requirements is preferred
• Compliance designation such as IACCP or willingness to obtain this designation
• Experience working with compliance solutions such as Star Compliance, Red Oak Compliance, ACA Compliance Alpha, etc
• Strong attention to detail, excellent written and verbal communication skills, and high work ethic
• Skilled in Microsoft Office, Excel, PowerPoint and SharePoint.
• Ability to identify and resolve or appropriately escalate complex issues with minimal guidance
• Experienced in Microsoft Office, Excel, PowerPoint and SharePoint with strong attention to detail, and excellent written and verbal communication skills
• Listen and learn while still taking full ownership of individual scope of work
• Engage collaboratively with clients, investment teams and peers
• Prioritize effectively and decisively across complex teams and competing priorities
• Enjoy working in and learning about the financial investment industry
• All candidates must already have legal authorization to work in the United States at the time they apply and remain authorized throughout their employment, without requiring current or future sponsorship.

Nice To Haves

• Experience with AI tools is a plus

Responsibilities

• Assist and provide support in identifying compliance and/or regulatory risks and potential risks related to rules, regulations and FEG’s policies and procedures
• Assist with performing compliance reviews and audits, including documenting findings and evaluating the effectiveness of compliance policies, procedures, and internal controls
• Assist and provide support with reviewing, monitoring and administering the Code of Ethics, including reporting violations, participating in training activities, suggesting and implementing improvements
• Assist and provide support to the general due diligence activities of the Compliance Team
• Conduct timely compliance reviews of advertising, marketing material and certain client communications, reports, notices and correspondence for adherence to SEC requirements
• Assist with developing content and presenting annual compliance training to the firm
• Assist in developing and amending policies and procedures for the Advisers and the Funds to remain compliant with SEC rules and regulations
• Assist with drafting and completion of regulatory filings such as Form ADVs, Form PF, Form 13F, CFTC/NFA, etc. required for the Advisers and the Funds
• Keep apprised of SEC regulations as they relate to the Funds and the Advisers
• Coordinate and manage special projects and initiatives as they arise
• Provide support and guidance to the other members of the compliance team

Benefits

• Competitive compensation and bonus opportunities commensurate with qualifications and performance
• Employer-paid life, Short-Term Disability and Long-Term Disability coverage plus subsidized Medical, Dental, & Vision plans
• Wealth Benefits including 401(k) and ESOP Programs with company contributions
• Paid Time Off (Holidays, PTO, Parental Leave)
• Flexible work options designed to support work-life balance while maintaining productivity and collaboration
• Employee-led culture committees focused on engagement, well-being, diversity, and a positive workplace environment
• A structured mentorship program that fosters professional growth, knowledge sharing, and leadership development through meaningful one-on-one connections
• Tuition reimbursement for approved educational programs to support continued learning and career development
• Reimbursement for eligible professional certifications and industry-recognized designations
• Access to comprehensive wellness programs that support physical, mental, and overall well-being

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level