Investment Compliance Analyst - Remote

OneDigital

1d • $90,000 - $100,000 • Remote

About The Position

The Investment Compliance Analyst supports OneDigital Investment Advisors’ compliance oversight obligations for investment activities. The role focuses on investment compliance surveillance, testing, and reporting to maintain the integrity of the firm’s investment compliance program and ensure adherence to applicable regulations and internal policies and procedures. The position may be located in Overland Park, Kansas, or remotely.

Under the direction of the Senior Director of Compliance, the analyst maintains and evaluates the firm’s investment surveillance and testing program and its related technology systems. The analyst monitors trading activity, identifies potential policy violations and material risks, coordinates remediation with stakeholders, and recommends policy or program changes. The role also prepares reports for compliance and investment leadership, supports annual compliance testing and regulatory examinations, and maintains knowledge of relevant regulations, industry practices, and testing methodologies.

Requirements

• Working knowledge of security types, including equities, bonds, options, mutual funds, exchange-traded funds, structured notes, variable annuities, and private placements, and how they are used in investment strategies and financial plans.
• Working knowledge of investment-related prohibited or restricted activities under the Investment Advisers Act of 1940 and ERISA.
• Strong understanding of fiduciary governance principles.
• Ability to interpret how new laws affect the firm’s investment strategies or use of investments.
• Self-motivation and strong time and project management skills, including the ability to reprioritize in response to unexpected events, balance team and individual responsibilities, and complete work accurately.
• Ability to respond to managerial direction, remain objective and open to new ideas, and welcome feedback.
• Strong verbal and written communication skills, including the ability to clearly and concisely articulate and present ideas, opinions, and information.
• High attention to detail, strong problem-solving skills, and a high level of integrity.
• Ability to handle business-sensitive and confidential information discreetly.
• High proficiency with Microsoft Office Suite, including Word, Excel, and Access; proficiency with Power BI and ability to develop dashboards.
• Proficiency in SQL and experience using Snowflake for data extraction, transformation, and analysis.
• Ability to manipulate raw data to analyze investments and trading activity effectively.
• Ability to adapt to a rapidly changing business and technology environment.
• Continual learner mentality.
• Undergraduate degree in business, finance, economics, accounting, business information systems, or a related field.
• At least 5 years of experience with a financial services firm in Investments, Trading, Operations, Technology, or Compliance; as a practicing Investment Advisor Representative; or with the SEC or FINRA as a compliance examiner.

Nice To Haves

• Previous experience with investment data analysis and reporting, compliance software systems, and/or portfolio compliance systems.

Responsibilities

• Maintain the firm’s investment surveillance and testing program, including technology systems that support it, under the direction of the Senior Director of Compliance.
• Monitor the program’s efficiency and accuracy and recommend enhancements or changes when appropriate.
• Conduct ongoing surveillance, testing, and analysis of firm trading activity to detect potential violations of firm policies, client restrictions, Investment Committee restrictions or policies, and previously unidentified material risks.
• Work with appropriate stakeholders to correct confirmed violations and recommend changes to investment policy or compliance policies and procedures to the Investment Committee or Chief Compliance Officer, as appropriate.
• Prepare reports for the Chief Compliance Officer, Investment Committee, and/or Senior Leadership Team on the program’s status and effectiveness and the firm’s compliance with investment-related policies and procedures.
• Assist with required annual testing of the firm’s investment-related compliance policies and procedures.
• Develop and maintain working relationships with internal and external partners, including investment management, trading, operations, IT, and technology, and serve as a compliance liaison to Investment Committee members.
• Assist in responding to regulatory inquiries and examinations.
• Stay current on relevant regulations, industry best practices, and testing methodologies.
• Perform other assignments and duties as assigned.

Benefits

• Eligible employees may receive health, wellbeing, retirement, and other financial benefits.
• Paid time off.
• Overtime pay for non-exempt employees.
• Learning and development programs.
• Reimbursement of job-related expenses under company policy.
• Employee perks and discounts.
• Some roles may be eligible for variable compensation, commission, and/or an annual bonus based on individual and/or company performance.

What This Job Offers

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