Junior Compliance Analyst

AD Mortgage • Fort Lauderdale, FL

3d • Onsite

About The Position

The Junior Compliance Analyst supports the Compliance Department in maintaining and monitoring the firm’s regulatory compliance program. This role assists in ensuring adherence to applicable laws, regulations, and internal policies governing registered investment advisers, including SEC and state regulatory requirements. The position provides an excellent opportunity for an early-career professional to gain experience in investment advisory compliance, regulatory filings, and internal controls.

Requirements

• Sound judgement, problem solving and decision-making skills.
• Possess strong personal computer skills including experience in Microsoft Windows, Excel, Word, and Outlook.
• Excellent communication skills, both verbal and written.
• Enthusiasm for providing customers with the best possible service.

Nice To Haves

• Early-career professional experience in investment advisory compliance, regulatory filings, and internal controls.

Responsibilities

• Assist in the administration of the firm’s compliance program in accordance with SEC and state investment adviser regulations, including the Investment Advisers Act of 1940.
• Support the monitoring of compliance with internal policies, procedures, and the firm’s Code of Ethics.
• Assist in preparing compliance documentation for regulatory examinations and internal audits.
• Conduct daily, weekly, and monthly compliance monitoring tasks.
• Review employee personal trading reports and monitor adherence to personal trading policies.
• Assist in monitoring marketing materials, communications, and client correspondence for regulatory compliance.
• Assist with preparation and maintenance of regulatory filings.
• Maintain accurate records in accordance with SEC recordkeeping requirements.
• Support periodic compliance testing and internal reviews of firm procedures.
• Assist with risk assessments and testing of compliance controls.
• Help administer compliance training for employees.
• Maintain compliance manuals, policies, and procedures.
• Assist in updating compliance documentation as regulations evolve.
• Monitor regulatory developments and assist in evaluating their impact on firm policies.
• Conduct research on regulatory requirements and industry best practices.

Benefits

• PTO
• sick days
• paid volunteer hours
• medical
• dental
• vision insurance
• 401(k)

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level
• Education Level: No Education Listed