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Compliance Analyst
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Job Description
- Req#: UAOip1inMAWX
- Provide leading support to the Compliance Branch Exam Program
- Work with the Director overseeing the Branch Exam Program to recommend enhancements to the Branch Exam Program.
- Complete all assigned Branch Exams with all appropriate write-ups and follow ups.
- Develop and report on metrics identified through the Branch Exam Program, including trends and opportunities for improved advisor education.
- Assess all activities for existing and emerging risks. Evaluate the materiality of risks identified and work with members of the Compliance Team to develop recommendations for risk mitigation.
- Timely execute the Firm's Branch Exam Program.
- Review compliance and other reports to identify deeper issues and common themes. Recommend corrective action as necessary.
- Utilize Compliance Software to manage components of the Compliance Program.
- Work with the Director overseeing Vendor and Product due diligence reviews, IT and other Stratos team members to enhance the due diligence oversight programs.
- Work with the Director overseeing IT related Compliance policies and procedures to properly develop and document updated policies and procedures as new laws, rules and best practices develop.
- Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.
- Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos IT team members.
- Perform additional projects and tasks in support of the Stratos Compliance program as assigned.
- Bachelor's degree.
- FINRA SIE, Series 7, 24 and 65/66.
- 2-3 years' experience with an investment advisory firm.
- Ability to communicate positively and effectively compliance requirements to investment advisory representatives.
- Travel required.
- Attention to Detail / Data Organization.
- Proficient with technology.
- Effective communication skills, written and verbal.
- Ability to work in a fast-paced, changing environment.
- Collaborative mentality; strong team orientation.
We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:
Additional Responsibilities
Skills / Key Competencies Required:- Provide leading support to the Compliance Branch Exam Program
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