Senior Compliance & Legal Analyst
NorthRock Partners
Location: Minneapolis, MN
Summary
The Senior Compliance & Legal Analyst will serve as a pivotal member of our dynamic and rapidly growing Legal and Compliance team. Equipped with robust knowledge of the Advisers Act and compliance functions for SEC RIA’s, The Senior Compliance & Legal Analyst will be responsible for ensuring required systems, processes, and policies are implemented, maintained, and analyzed to demonstrate compliance and ongoing improvement of the organization’s activities and auditing practices. The Senior Compliance & Legal Analyst will support the legal function through organization, preparation, and maintenance of legal documents; legal project workflows; legal research; scheduling, and administrative tasks associated with the legal department. The Senior Compliance & Legal Analyst will also support the risk management and mitigation responsibilities of the CLO & CCO.
Essential Functions
Participate with Risk Management committee meetings including scheduling, agenda curation, and taking and sending meeting minutes
Assist with filing the firms ADVs, 13F, U-4, and U-5 forms
Process Form U4s and U5s for employee registrations and terminations
Assist with development of drafts and IARD input and maintenance of firm registration, including Form ADV Part 1, 2A, 2B and CRS
Conduct Code of Ethics related activities (e.g., personal securities monitoring and review, code of ethics management system operation, review of gifts & entertainment logs, review of requests for preapproval)
Compliance testing around fees and other firm activities
Assist with growth projects the company pursues to ensure compliance aspects are incorporated
Review NorthRock emails, texts, and social media for compliance purposes. Work with the team to improve and respond to findings
Review and track employee investment reports quarterly to make sure all investment activity complies with NorthRock policies
Help create and oversee continuing education (i.e.: compliance annual meeting)
Oversee Insurance Corporate licensing and continuing education on behalf of advisors
Oversee policies and procedures (P&P) spreadsheet for timely updates
Work with broader NorthRock team to expand our Policies & Procedures
Source technologies that could be used to aid in our compliance oversight
Assist with compliance on-boarding of new employees, provide agenda (pre-drafted) and supporting documents new employee ahead of their compliance training
Track the completion of new employee compliance documentation to ensure all material is signed and received from employees
Create compliance program documentation and curriculum
Be available for employees questions related to compliance
Mailing and delivery of important documentation provided by the CLO & CCO
Monitor Risk Management dashboard and compliance calendar and assist CCO with updates to program documents such as the Compliance Manual and Code of Ethics
Social media and networking reviews
Aid in organizing the Legal and Compliance department’s activities, books and records
Assist with SEC examinations along with branch office internal audits
Evaluate current and new compliance regulations, reviewing company processes, and leading training sessions
Required Education & Experience
Relevant degrees and/or certifications from accredited Universities (e.g., law, compliance, finance)
5+ years related experience
Prior experience and knowledge of the Advisers Act
Previous experience supporting both legal and compliance functions for SEC registered investment advisers
Strong knowledge of industry processes and regulations
Experience with a CRM database is appreciated (e.g., Salesforce)
Emotional maturity, professional mindset, and the utmost discretion
Strong communication skills, both written and verbal
Proficiency in all areas of Microsoft Office; must be very tech comfortable or savvy