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Ria Compliance Analyst

Company: My RIA Lawyer
Location: Remote
Posted on: May 25, 2023

Job Description:

The compliance analyst is a nerd that LOVES all things compliance and helping firms improve their compliance programs. The ideal candidate will have experience performing compliance testing for broker-dealers and RIAs. The ideal candidate loves working in the background, collaborating when needed, and holds themselves to a high standard of work product and professionalism.

The successful candidate will:
--- Support compliance manager
--- Handle amendments to Form ADV and other IARD/CRD filings (e.g U4, U5) and Edgar-based filings (e.g. 13F, 13 H)
--- Work with regulators to achieve registration for RIAs and, as needed, their advisory personnel
--- Review disciplinary matters to ensure that DRPs (Disclosure Reporting Pages) contain proper disclosure
--- Assist with the RIA annual updating amendment/renewal process
--- Coordinate with colleagues (including those in client-facing roles) and directly with RIA clients (as needed)
--- Conduct RIA compliance tasks and testing- best execution review, trading review, billing review, email review, advertising review, social media review, testing archiving, auditing books and records, branch office reviews, risk assessments, etc.
--- Drafts compliance manuals, code of ethics, business continuity plans, and cybersecurity policies and can review and analyze them for required updating
--- Understand SEC rules and regulations and how they apply to advisers
--- Adequately compiles and organizes materials, and compiles relevant documents in databases and network drives to maintain an accessible file
--- Register new firms as independent investment advisers
--- Performs other duties and projects as needed

Experience and Qualifications Required:
--- Extensive previous experience with Form ADV and other regulatory documents
--- Someone fanatical about client experience with dedication to client responsiveness
--- Passion for working in a fast-paced, small company environment
--- Solution-oriented mindset
--- RIA regulatory and/or NASAA experience
--- Excellent written, organizational, and follow-up skills
--- At least 4 to 7 years working for an RIA or law firm serving RIAs

Other Skills Required:
--- Attention to detail, with the ability to analyze data, identify trends and escalate matters appropriately
--- Must demonstrate strong critical thinking skills and curiosity
--- Excellent independent follow-up skills
--- Organizational and time management skills; ability to multitask
--- Strong written and oral communication skills among different business audiences
--- Customer service-oriented
--- Accountability is not a problem and consistently meets and surpasses expectations

We offer a competitive benefits package including medical, dental, and vision coverage, 401(k) with employer match, permanently remote position, all-expense paid firm retreats, and robust PTO and time off policy.

About Company:
We are a fast-growing virtual law firm looking to help more advisers and independent financial services companies.

Keywords: My RIA Lawyer, Eugene , Ria Compliance Analyst, Professions , Remote, Oregon

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