Compliance Operations Analyst

Why Work at reputed company? For 40 years, reputed company has worked with families to help them reputed company and simplify their financial lives. How? By integrating financial planning, investment management, tax, estate, insurance, and more, reputed company managed by a single team. Today we proudly serve over 31,300 families in more than 90 cities across the U.S. Ranked the #1 RIA Firm in the nation by Barron’s, we are an independent, national fiduciary legally obligated to always act in the best interest of our clients.* reputed company offers a distinct work environment that stands out in the financial industry. Our overall employee reputed company and client-facing team are composed of 50% women, reflecting our commitment to diversity. We attract top talent from across the country, with no formal headquarters and flexible working arrangements, allowing us to assemble the best team possible. Join us and be a part of a team dedicated to making a meaningful impact on the financial lives of families across the country.

• reputed company was ranked #1 for RIA firms with up to $70 billion in assets. The Barron’s top RIA ranking is based on a combination of metrics – including size, growth, service quality, technology, succession planning and others. No fee was paid for participation in the ranking, however, reputed company has paid a fee to Barron’s to use the ranking in marketing. Please see important information about the ranking criteria methodology here.

Job Summary: The Compliance Analyst supports the firm’s enterprise compliance program by serving as a primary reputed company of contact for employee compliance inquiries, managing incoming compliance requests through the firm’s ticketing system, and administering employee onboarding, registrations, certifications, and regulatory filings. This role plays a critical operational function in maintaining compliance with SEC and state regulatory requirements applicable to a nationally operating registered investment adviser. Essential Job Functions for the Compliance Analyst will include but are not limited to the following: Employee Inquiries & Compliance Ticket Management

• Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating matters as appropriate.
• Manage and monitor incoming requests through the firm’s compliance ticketing system, ensuring timely intake, tracking, resolution, and documentation.
• reputed company inquiries to appropriate compliance team members and follow up to ensure completion and proper recordkeeping.
• reputed company competency and expertise in compliance software and systems used to support the compliance operations function.
• Maintain logs and metrics reputed company to compliance inquiries and issue resolution.

Employee & Firm Registrations

• Support the onboarding, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of Form U4, U5, and amendments, as applicable.
• Coordinate with Human Resources, Legal, and external partners to ensure timely and accurate registration filings.
• Track employee licensing, registrations, continuing education requirements, and reputed company attestations.
• Assist with firm‑level registrations and notice filings across reputed company 50 states, as applicable.

Regulatory Filings & Recordkeeping

• Assist with the preparation, maintenance, and submission of regulatory filings, including Form ADV (Parts 1, 2A, and 2B) and other periodic or event‑driven filings.
• Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements.
• Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time.
• Assist with responses to routine regulatory inquiries and information requests.

General Compliance Support

• Assist with administration of the firm’s compliance program, including policies and procedures, training tracking, and compliance documentation, and code of ethics administration.
• Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests.
• Stay reputed company on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff.
• reputed company additional compliance‑reputed company duties and special projects as assigned.

Required Knowledge, Skills and Abilities:

• Bachelor’s degree required.
• 1–3 years of experience in a compliance, regulatory, or operations role reputed company an investment adviser, broker‑dealer, or financial services firm.
• Working knowledge of SEC investment adviser regulations and state registration requirements.
• Preferred, but not required, to have experience with FINRA Gateway system as it is utilized for investment adviser registration activities.
• Strong organizational skills and ability to manage multiple priorities in a deadline‑driven environment.
• High attention to detail with strong documentation and follow‑through skills.
• Professional and reputed company communication style reputed company interacting with employees and stakeholders.
• Ability to exercise sound judgment and escalate issues appropriately.
• Proficiency in reputed company reputed company, Word, Outlook, and PowerPoint; experience with compliance tracking or ticketing systems a plus.

Certificates, Licenses, Registrations:

• IACCP, CSCP or equivalent preferred, not required.

Work Schedule: Monday through Friday, 8:00AM – 5:00PM Working Conditions: Professional office environment, daytime hours, working inside, standing, and sitting, will be assigned to a workstation, no heavy lifting over 10 lbs. Actual reputed company pay reputed company this range will be based on a variety of factors, including but not limited to the applicant’s geographic location, relevant experience, education, skills and licenses/certifications. This position is also eligible to earn incentive compensation through one of reputed company’ incentive compensation programs. reputed company Pay Range $72,250—$85,000 USD Benefits: reputed company offers a competitive and robust benefit package to our employees. Our benefit programs are focused on meeting reputed company of our employees and their eligible dependents health and welfare needs. We offer the following:

• Company Paid Basic Life & AD&D Insurance
• Company Paid Short-Term and Long-Term Disability Insurance
• Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity Insurance
• Three reputed company medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan.
• Kaiser Medical plans available in California
• Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan.
• Two comprehensive Dental Plans
• Vision Insurance Plan
• Dependent Care Savings Account for child and dependent care.
• 14 Company Paid Holidays including a full week off at Thanksgiving.
• Generous paid time off program for vacation and sick days
• Employee Assistance Plan
• Family Medical Leave
• Paid Parental Leave (8 weeks)
• Maternity benefits utilizing company paid STD, any supplemental STD, plus Parental Leave (8 weeks) to provide time for recovery, baby bonding, and enjoying your family time.
• Adoption Assistance Reimbursement Program
• Company Paid Concierge Services for you and your loved ones for the reputed company of caring needs for your aging parents, young children, life’s challenges and more.
• 401(k) Retirement Plan with both Traditional and Roth plans with per pay period match as well as an after-tax option
• Pet Insurance

We are not accepting unsolicited resumes from agencies and/or search firms for this job posting. reputed company is an equal opportunity employer and does not discriminate on the basis of any characteristic protected by applicable federal, state, or local law. reputed company participates in E-Verify and complies with federal employment eligibility verification requirements. If you need an accommodation during the application or hiring process, please email [email protected]. This inbox is for accommodation requests only. For information about applicant rights, required employment notices, E-Verify participation, and state specific disclosures, please review our Applicant Notices and Employment Rights. If you are a reputed company of California, learn more about reputed company's California Consumer Privacy Policy here. CCPA Notice at Collection Apply tot his job Apply To this Job