COMPLIANCE ANALYST

Modern Wealth Management • Mesa, AZ

13d

About The Position

The Compliance Analyst supports the company’s compliance program by ensuring adherence to regulatory requirements, internal policies, and industry best practices. This role focuses on monitoring compliance risks, assisting with audits and regulatory filings, and providing guidance on compliance matters to internal teams.

Requirements

• Bachelor’s degree in Business, Finance, Law, or a related field.
• 2–4 years of experience in compliance, risk management, or regulatory affairs within the financial services industry.
• Strong knowledge of financial regulations, including SEC, FINRA, and other applicable regulatory bodies.
• Ability to analyze and interpret regulatory guidance and communicate effectively with internal stakeholders.
• Detail-oriented with excellent organizational and problem-solving skills.
• Proficiency in compliance software and tools for monitoring and reporting.

Responsibilities

• Assist in the implementation and maintenance of compliance policies and procedures to ensure regulatory adherence.
• Conduct periodic compliance risk assessments, audits, and testing to identify potential gaps and recommend corrective actions.
• Monitor regulatory developments and provide updates to the compliance team and business units on relevant changes.
• Support the preparation and submission of regulatory filings, reports, and disclosures.
• Collaborate with internal stakeholders, including operations, risk management, and legal, to address compliance concerns and maintain regulatory alignment.
• Assist in responding to regulatory inquiries, exams, and audits by gathering documentation and supporting compliance leadership.
• Conduct compliance training sessions and create educational materials to enhance awareness and understanding of compliance requirements across the organization.
• Maintain accurate records of compliance activities, audits, and issue resolution for internal tracking and reporting.
• Identify opportunities to improve compliance processes, enhance monitoring efforts, and increase overall program efficiency.

What This Job Offers

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