Compliance Analyst

Pinnacle Staffing Group AZ • Mesa, AZ

18h

About The Position

A dynamic and rapidly growing Registered Investment Advisor (RIA) firm is seeking a Compliance Analyst to help lead and strengthen its compliance program across multi-state operations. This is a strategic opportunity for a detail-oriented and proactive compliance professional to shape and enforce regulatory policies, ensure SEC and state regulatory adherence, and support a culture of integrity and risk management. The ideal candidate is a seasoned compliance professional who can not only interpret and apply regulations but also build out scalable processes that evolve with the firm’s growth.

Requirements

• 5+ years of compliance experience within an RIA or comparable financial services firm.
• Deep knowledge of SEC and state-level regulatory frameworks, with hands-on experience managing Form ADV and related filings.
• Demonstrated ability to manage multiple projects, meet tight deadlines, and navigate ambiguous or evolving compliance environments.
• Proven track record of initiating and implementing effective compliance processes and solutions.
• Strong proficiency in Microsoft Excel and comfort working with compliance technology platforms.
• Excellent verbal and written communication skills, with the ability to clearly convey compliance requirements to non-technical audiences.
• Self-starter with a high level of integrity, judgment, and accountability.

Nice To Haves

• Bachelor's degree preferred.
• Series 65 or 66 strongly preferred.

Responsibilities

• Conduct regular internal compliance audits to ensure adherence to SEC and state regulations; document findings and recommend corrective actions.
• Prepare, file, and maintain key regulatory reports such as Form ADV, U4/U5, and various state-specific filings.
• Maintain, update, and enhance firm-wide compliance policies and procedures in alignment with current laws and industry best practices.
• Monitor regulatory changes, analyze their impact, and recommend appropriate internal policy adjustments.
• Lead and assist in compliance training efforts across the firm to promote awareness and adherence to regulatory standards.
• Investigate compliance concerns and escalate critical issues to the Chief Compliance & Legal Officer or Responsible Executive.
• Oversee Code of Ethics monitoring, including personal securities transaction reviews and employee attestations.
• Develop and formalize compliance workflows and documentation where none currently exist, supporting the firm’s scale and growth.

What This Job Offers

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