Compliance Analyst (Remote)

Written By Ingrid Nordskog

Confluence

Location: Remote

Working under general supervision, participate in client engagements, consisting of services to registered investment advisers and broker dealers. Collaborate on client deliverables with product and services teams. Support regulatory reporting requirements of RIAs and BDs including Form ADV, Form PF, U-4’s and U-5’s and perform additional compliance analysis and tasks for RIAs and BDs. In this role, the primary focus is to support engagements and provide assigned compliance review services while developing advanced expertise. Remote work location.

Responsibilities

  • Assist with critical compliance services to clients, including the licensing and registration of RIAs/BDs and representatives

  • Support the timely completion of client deliverables, meeting delivery commitments while allowing time for review and compilation

  • Provide IARD account maintenance services, Form ADV filings including all schedules, and Form PF entry

  • Manage personal trading administration, electronic communications reviews, and social media reviews, as assigned; prepare regular reports for clients

  • Other duties as assigned

Skills and qualifications (the ideal candidate will have)

  • Bachelor’s degree

  • Excellent written and verbal communication skills

  • Minimum 1-2 years’ experience within an investment management company

  • Experience with FINRA’s IARD filing system

Ingrid Nordskog
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