Compliance Analyst

TL;DR

Compliance Analyst: Perform registration and licensing duties, compliance testing, and reporting for a Registered Investment Advisor with an accent on onboarding due diligence, ongoing monitoring of IAR activities, and regulatory filings (FINRA U4/U5, ADV 2B). Focus on detecting potential compliance violations and material risks, coordinating remediation, and staying current on SEC/FINRA/state regulations.

Location: Remote (or located in Overland Park, Kansas)

Salary: $60,000–$70,000 per year

Company

hirify.global Investment Advisors provides financial services including employer-based benefits and personalized financial planning and investment services.

What you will do

• Perform onboarding due diligence, including maintaining RIA registered persons filings and required disclosure documents.
• Monitor and improve compliance program efficiency and accuracy for onboarding and departing registered associates.
• Conduct ongoing monitoring of IARs to detect policy violations and material risks; coordinate remediation with stakeholders.
• Support annual compliance testing related to licensing and registration.
• Prepare and submit license registrations to regulatory agencies, including maintaining accurate FINRA U4 and U5 filings.
• Create and maintain ADV 2B documents and monitor IAR Outside Business Activities (OBA) for conflicts of interest.

Requirements

• Good understanding of regulatory requirements for a Registered Investment Advisor and its Investment Adviser Representatives.
• Ability to interpret the impact of new rules on IARs and clearly communicate guidance to associates.
• 2+ years of experience in financial services; investment advisor compliance or operations experience is preferred.
• Strong communication skills (verbal and written) with the ability to present information clearly and concisely.
• High attention to detail, strong problem-solving skills, and integrity; ability to handle confidential business-sensitive information discreetly.
• Strong computer skills and proficiency with Microsoft Office; FINRA regulatory filing system experience preferred.

Culture & Benefits

• Health, wellbeing, retirement, and other financial benefits for eligible employees.
• Paid time off and overtime pay for non-exempt employees.
• Robust learning and development programs.
• Reimbursement of job-related expenses per company policy.
• Base pay depends on skills, education, qualifications, professional experience, and location; some roles may include variable compensation, commission, and/or annual bonus.