Senior Compliance Analyst

IMA Financial Group•Denver, CO

4d•$92,000 - $125,000

About The Position

IMA Advisory Services (IMAAS), a subsidiary of IMA Financial Group, is seeking a highly motivated and experienced Senior Compliance Analyst to join our growing team. This role is pivotal in ensuring regulatory compliance across marketing, operations, and advisory services. The successful candidate will serve as a key compliance leader, providing guidance on SEC regulations, reviewing marketing materials, and supporting the broader compliance program. Candidates with backgrounds in paralegal work or internal audit are encouraged to apply.

Requirements

5-7 years of compliance experience in wealth management or private fund industry or similar experience.
Bachelor’s degree required
Understanding of SEC regulations, including the Investment Advisers Act of 1940 and Securities Act of 1933.
Experience with IAR registration, licensing, and CRD system.
Strong analytical, problem-solving, and organizational skills.
Excellent written and verbal communication.
Proficiency in Microsoft Excel, Word, PowerPoint; familiarity with Copilot or other AI systems is a plus.
Ability to manage multiple priorities in a fast-paced environment.
Client-service mentality and collaborative work style.
High degree of integrity, professionalism, and judgment.

Responsibilities

Supports and demonstrates IMA’s core values
Values and understands the importance of diversity, equity and inclusion among all IMA associates
Serve as primary contact for clients on advertising, code of ethics, and compliance matters.
Design, implement, and continuously enhance processes for reviewing marketing materials) and client communications to ensure compliance with the Investment Advisers Act and other applicable securities regulations.
Support IMAAS audit and regulatory examination response processes, when applicable.
Assist the Chief Compliance Officer with compliance testing and oversight of RIA business.
Maintain and enhance compliance manuals, reference guides, and internal review procedures.
Prepare and submit regulatory filings (Form ADV, U-4, U-5, 13F).
Administer policy management systems and employee attestations.
Conduct compliance risk assessments, testing, and monitoring.
Support vendor oversight and participate in committee and working group meetings.
Provide training and education on compliance policies and best practices.
Represent the firm at industry conferences and branch office reviews (minimal travel).
Collaborate with business partners to provide regulatory advice and solutions.
Perform duties and projects as assigned.