Compliance Analyst

Opportunity: A fast-growing investment advisory firm seeks a Compliance Analyst for its Phoenix office. The position allows for creative thinking of new ideas, systems, or plans, and innovative problem solving. Employees seeking to gain industry experience from a wide range of client exposure and work in a fast paced and dynamic environment will excel in this role.

Position Summary: We are seeking a knowledgeable and proactive compliance analyst to ensure regulatory compliance for our firm and our affiliates. As a compliance analyst, your duties will include training employees on industry standards and procedures, developing and testing policies, and evaluating compliance with procedures and regulations.

Compliance Analyst Responsibilities:

Researching industry compliance regulations and policies.

Evaluating internal operational and procedural compliance.

Analyzing and updating existing compliance policies and related documentation.

Communicating compliance policies and guidelines to Management and affiliates.

Developing and executing new compliance policies and procedures as required.

Training employees and affiliates on compliance requirements.

Maintaining communication with internal stakeholders and affiliates.

Keeping up with compliance requirements and amendments to regulations.

Successful candidates will have many, if not all, of the attributes below:

- Industry-related Bachelor's degree or accredited compliance management certification.

- Previous experience as a compliance analyst in an RIA is a plus.

- In-depth knowledge of investment advisory compliance requirements and standards.

- Ability to formulate compliance policies, procedures, and related documentation.

- Advanced analytical abilities.

- Effective research and professional networking skills.

- Ability to effectively train employees.

- Exceptional communication and interpersonal skills.


Our salary is commensurate with experience. We offer comprehensive benefits, including health, dental, vision, ancillary benefits and a highly competitive 401(k) plan.
Paid Time Off (Vacation, Sick & Public Holidays)
Family Leave (Maternity, Paternity)
Fun work environment with dynamic team!