About the Client A rapidly growing Registered Investment Advisory firm located in Bedminster, New Jersey, with an expanding client base, is seeking a Compliance Analyst to join the team. This role will support the firm's compliance program. This can be a part-time (15 hours per week) or full-time position (30 hours per week).
Job Summary: The Compliance Analyst will support the firm's compliance program to ensure adherence to SEC and state regulatory requirements, internal policies, and industry standards. This individual will assist with implementing, monitoring, and reporting the firm's compliance policies and procedures, ensuring that the firm maintains a strong compliance culture.
Key Responsibilities: Regulatory Compliance: - Monitor and ensure adherence to SEC and state regulations applicable to RIAs, including the Investment Advisers Act of 1940.
- Maintain the firm's compliance calendar to track deadlines and filing requirements.
- Assist in the preparation and filing of regulatory documents, including Form ADV, Form U4/U5, and Form CRS.
Policy & Procedure Oversight: - Assist in drafting, updating, and maintaining compliance policies and procedures, including the firm's Code of Ethics and supervisory procedures.
- Conduct periodic compliance reviews and risk assessments.
- Monitor and review advertising materials, website updates, and social media posts for regulatory compliance.
Employee Oversight: - Monitor personal securities transactions and maintain records of employees' attestations and disclosures.
- Assist in training employees on compliance-related topics, including regulatory changes and ethical standards.
Audit & Reporting: - Prepare for and assist with regulatory examinations or audits conducted by the SEC or state agencies.
- Assist in creating and presenting periodic compliance reports to senior management.
Qualifications: - Bachelor's degree in finance, business administration, law, or a related field.
- Minimum 2-3 years of experience in a compliance or regulatory role, preferably with an RIA.
- Familiarity with the Investment Advisers Act of 1940 and SEC regulations.
Skills: - Strong analytical and research skills.
- Attention to detail and ability to handle confidential information.
- Proficiency in compliance software and tools.
- Excellent verbal and written communication skills.
Licensing Requirements: While compliance analysts are not always required to have specific licenses, certain credentials can enhance their qualifications:
- Preferred Certifications (Optional):
- Investment Adviser Certified Compliance Professional (IACCP): A specialized certification for RIA compliance professionals.
- Certified Regulatory and Compliance Professional (CRCP): Another industry-recognized credential.
- Certified Financial Planner (CFP®): Optional, useful if the analyst's role overlaps with advisory activities.