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    9099- Compliance Analyst - Austin, United States - Interactive Resources - iR

    Interactive Resources - iR
    Interactive Resources - iR Austin, United States

    2 weeks ago

    Default job background
    Accounting / Finance
    Description

    iR has partnered with a client of ours who is looking to add a Talented Compliance Analyst to their team.

    As a Compliance Analyst for Registered Investment Advisers (RIAs), you will be reporting to the Manager of RIA Compliance. Your responsibilities will include acquiring or strengthening your understanding of Advisory Rules and Regulations, with a particular focus on gaining familiarity with the Investment Advisers Act of 1940. You will actively contribute to enhancing our client's compliance program to guarantee compliance with the Advisers Act and relevant regulatory requirements.

    What you get to go do in this exciting role:

    • Serve as a compliance support for advisors, their teams, and internal collaboration
    • Examine exception reports to pinpoint issues and suggest and execute corrective measures.
    • Conduct investigations into alleged violations flagged by various internal channels.
    • Conduct data analysis to bolster various initiatives such as annual ADV filings, regulatory examinations, and inquiries.
    • Evaluate all compliance approval requests.
    • Formulate exception reporting mechanisms.
    • Engage in special initiatives as directed by senior management or prompted by prevailing circumstances.
    • Offer insights for enhancing processes.

    What you need to be successful:

    • Understanding of advisory services
    • Attention to detail and strong organizational skills
    • Microsoft Excel (can maintain complex spreadsheets) Pivot Tables and VLOOKUP
    • Financial Services industry experience
    • Our client is open to hiring a junior or senior-level Compliance Analyst.

    CERTIFICATIONS:

    • You have your FINRA Series 7
    • If you don't have your FINRA 24, the company will help you obtain this certification
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