Compliance Analyst - Remote

Overview

COMPLY is seeking a Compliance Analyst to join our growing team, responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers.

In Short

• Assist investment advisers and other financial services firm customers with regulatory obligations.
• File annual updating amendments and other-than-annual amendments for Form ADV.
• Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4.
• Coordinate with state and SEC regulators to secure registration for customer firms.
• Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID.
• Handle Form D and blue sky filings for private funds.
• Complete Form PF for hedge fund, private equity, and venture capital advisers.
• Review disciplinary matters affecting customers for proper DRP disclosure.
• Support remote team by clarifying and helping resolve complicated customer matters.
• Assist your Regulatory Filings team with various other tasks as assigned.

Requirements

• Skilled in problem solving and analytical thinking.
• Ability to multitask in performing complex responsibilities across multiple projects.
• Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels.
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce.
• Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.

Benefits

• Join a leading global provider of compliance solutions.
• Opportunity to work with a dedicated team of compliance experts.
• Engage in a collaborative and client-focused work environment.
• Access to innovative compliance technology and software.
• Professional development and growth opportunities.