Investment Compliance Analyst
We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:
- Provide support to the overall Compliance Program
- Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies.
- Work with Compliance Directors to support new compliance initiatives.
- Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.
- Utilize Compliance Software to manage components of the Compliance Program.
- Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop.
- Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.
- Additional Responsibilities
o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members.
o Perform additional projects and tasks in support of the Stratos Compliance program as assigned.
Requirements
Skills / Key Competencies Required:
· Bachelor’s degree
· FINRA SIE, Series 7, 24 and 65/66
- 3-5 years’ experience with an investment advisory firm
- Ability to communicate positively and effectively compliance requirements to investment advisory representatives
· Minimal travel required
- Attention to Detail / Data Organization
· Proficient with technology
- Effective communication skills, written and verbal
- Ability to work in a fast-paced, changing environment
- Collaborative mentality; strong team orientation
Originally posted on Himalayas