Investment Compliance Analyst

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

Provide support to the overall Compliance Program

Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies.

Work with Compliance Directors to support new compliance initiatives.

Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.

Utilize Compliance Software to manage components of the Compliance Program.

Work with the Directors 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.

Additional Responsibilities

o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members.

o Perform additional projects and tasks in support of the Stratos Compliance program as assigned.

Requirements

Skills / Key Competencies Required

• Bachelor’s degree
• FINRA SIE, Series 7, 24 and 65/66

3-5 years’ experience with an investment advisory firm

Ability to communicate positively and effectively compliance requirements to investment advisory representatives

• Minimal 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

Originally posted on Himalayas