Compliance Analyst
Sentinel Pension Advisors Inc.
Location: Hybrid
We are seeking a knowledgeable and proactive Compliance Analyst, with a good base of industry, regulatory, and legal compliance knowledge. The successful candidate should have exceptional communication and interpersonal skill and a fundamental belief in the importance of using compliance to enable the business as well as protect it.
We are looking for an individual who strives toward excellence in compliance. The Compliance Analyst should be able to positively collaborate and build trust with internal stakeholders at various levels across the organization. They need to be organized, have the ability to critically think, and demonstrate a high attention to detail.
The Compliance Analyst will assist the Chief Compliance Officer in document management, compliance testing, internal controls, and risk management for the firm and its clients.
What you'll bring to Sentinel:
• Implements policies and procedures meant to ensure compliance with applicable laws, Basic knowledge of the Investment Advisers Act, SEC rules and regulations.
• Knowledge of, and ability to interpret and apply, insurance, broker/dealer and investment adviser regulatory requirements
• Possess a high level of professionalism, confidentiality, discretion and judgment.
• Demonstrated solutions-oriented decision-making abilities, and successful experience
applying reasonable judgement
• Conduct research on legal, regulatory and compliance issues as needed
• providing meaningful recommendations on known gaps in compliance, with the aim of agreeing corrective actions with owners
• Reviewing compliance policies, procedures and related documentation as required.
• Communicating compliance policies and guidelines to teams and employees.
• Assist with special project work and various legal & compliance initiatives
What you’ll be responsible for:
• Implements policies and procedures meant to ensure compliance with applicable laws, regulations, and standards
• Conducts initial reviews of alleged compliance violations and escalates to the Chief Compliance Officer
• Conducts periodic tests and audits of organizational operations.
• Tracks and interprets laws or regulations impacting the business, and provides guidance to ensure compliance.
• Identify gaps in documentation, or potential areas of non-compliance, and suggests resolutions.
• Enhances and maintains investment advisory policies and procedures and disclosures
• Research new rules and regulations and implement appropriate policies and procedures
• Maintain an ongoing compliance education program and provide training
• Maintain a repository of forms, handbooks, policies or other documents that are needed to comply with application regulations are standards.
• Advertisement and Correspondence Review to ensure Compliance with the SEC Marketing Rule.
About you:
We are looking for a detail-oriented content creator who has the drive, determination, and skill-set to bring Sentinel’s content to the next level. The benefits industry is forever changing and we want someone who is flexible and willing to embrace that change.
What you need to have:
Preferred qualifications:
• BA/BS degree
• 4-5 years relevant compliance experience gained within financial services
• High attention to detail
• Self-starter and highly organized individual
• Strong communication and interpersonal skills
• Proficiency with windows-based software
• Ability to work independently and meet deadlines in a fast-paced, changing environment
• Series 7, 24 and 65 licenses preferred