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Compliance Analyst
Waukesha, WI US
Job Description
Our client a SEC Registered Investment Advisor (RIA) firm based in Waukesha is seeking a Compliance Analyst to maintain and enhance their compliance policies and procedures, ensuring the firm’s adherence to regulatory standards. This in-office role encompasses a range of responsibilities, including monitoring regulatory compliance, educating staff on compliance requirements, and coordinating preparations for mock SEC examinations.
Position Summary:
This position reports to the Chief Compliance Officer (CCO) and is accountable for the execution and coordination of the RIA compliance program in adherence with the applicable federal and state regulations, including the Investment Advisers Act of 1940, the Investment Company Act of 1940, Securities Exchange Commission (“SEC”) and the North America Securities Administrators Association (“NASAA”).
Responsibilities:
- Support Chief Compliance Officer (CCO) with compliance training by creating and presenting power points used for educating the IARs, their Assistants and the firm’s headquarters staff
- Train and educate IARs, their Assistants and on compliance and regulatory topics via webinar training sessions to provide updates and required awareness of policies and procedures
- Maintaining compliance policies and procedures, as well as the overall design/maintenance of the advisory services compliance program collaboratively with the CCO and 3rd party vendor external compliance consultant(s)
- Assist CCO with regulatory exams and requests
- Manage and maintain monthly compliance records for the RIA firms archives
- Trade execution: assist the Chief Investment Officer with trade execution, as needed
- Trade reports: complete daily trade reports for the Chief Investment Officer
- Trade review: daily conducts trade reviews related to the firm’s portfolio and strategy fees
- Assist the CCO with submitting regulatory filings, disclosures, and reports accurately and in a timely manner
- Travel: some travel will be required to the remote-offices throughout the United States for purposes of audits, and to review of remote-office files to ensure they comply with the required RIA policies and procedures and regulatory state and federal requirements
- Complete other projects as assigned and delegated by the Chief Compliance Officer and the firm’s management team
Job Requirements
- Proven experience as a Compliance Analyst or Compliance Manager within a registered investment advisory (RIA) firm
- Minimum of 2 years of compliance experience within an RIA firm is preferred
- Bachelor’s degree in finance, law, business administration, or a related field
- Professional certification(s) such as Investment Adviser Certified Compliance Professional (IACCP), Certified Compliance and Ethics Professional (CCEP), or Certified Compliance and Regulatory Professional (CCRP) are a plus
Meet Your Recruiter
Nicole Mortell, CPC
Partner, Vice President of Sales
Nicole earned her Bachelor of Arts from UW-Oshkosh and began her staffing career shortly after graduation. Quickly, Nicole found her passion rising to top producer year after year and from there in 2006 she became one of the founding Partners of AllianceStaff. Today as Partner and VP of Sales and Marketing, she remains on the front lines of recruitment and client management, while simultaneously fostering the growth of AllianceStaff by identifying key business development opportunities and training team members to develop their own desks. Nicole partners with companies across a wide range of industries to understand their hiring needs and to help them build the best possible teams. She has been recruiting in Milwaukee for over 15 years and has developed a unique insight into the hiring needs of the local market. She creates strong business relationships, many of which turn into long-term friendships, attesting to the loyalty she has with her clients and candidates. She listens. She asks questions. And she understands that a great talent match never needs to be sold. Nicole intuitively knows when she’s found the right match, and her long track record of successful placements proves her skill.
In her free time you can find Nicole on the soccer field watching her twin boys play in rain, sleet or snow (true soccer mom!!), staying on top of fitness trends, checking out a new restaurant with her girlfriends, traveling with her husband Tom or snuggling with her baby girl Mariah (Australian miniature Labradoodle.)