Compliance Analyst

About This Role

This early-career role is for a Compliance Analyst who will support the firm's daily compliance program under the Chief Compliance Officer's guidance. It suits a candidate with a background in RIA or broker-dealer compliance, aiming to advance into a senior compliance position. You will contribute to executing testing, monitoring, and documentation to maintain the firm's robust compliance framework.

Responsibilities

• Support execution of the firm's annual and quarterly compliance testing program
• Assist with random sampling audits for policy adherence
• Review marketing materials for compliance approval
• Document testing and remediation in the firm's compliance software
• Track corrective action plans and follow up on open items
• Assist with filing drafts under guidance of senior compliance staff
• Support custody audit documentation
• Maintain compliance dashboards and regulatory tracking logs
• Assist with reviews of the Compliance Manual, Code of Ethics, and other internal policies
• Maintain the policy inventory and annual attestation tracking
• Support vendor due diligence and ongoing monitoring
• Assist with coordination of annual cybersecurity testing
• Help maintain documentation from IT providers
• Monitor MFA and employee credential controls
• Track annual compliance and cybersecurity training completion
• Support new hire onboarding and offboarding compliance requirements
• Help maintain the compliance training library

Requirements

• Bachelor's degree in finance, business, law, or related field
• 3-5 years of experience in compliance, legal, or risk management at an RIA, broker-dealer, or related financial firm
• Working knowledge of SEC and Investment Advisers Act regulations
• Strong attention to detail and organizational skills
• Ability to manage multiple priorities and work independently

Benefits

• Medical, dental, and 401(k) benefits
• Generous PTO schedule
• Financial support for professional accreditation and continuing education

About the Company

This confidential, SEC-registered, fee-only RIA manages $5-10 billion in client assets. The firm exclusively serves ultra-high-net-worth families, foundations, and endowments, operating independently to align incentives with clients. With an advisor-to-client ratio well below industry norms, the firm enables deep engagement with each family.