Senior Compliance Analyst

 

Position Summary

Focus Partners Wealth is seeking a Senior Compliance Analyst. The Senior Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm’s Compliance Program and Code of Ethics oversight. This role will have a primary focus on employee supervision and administration of the firm’s Code of Ethics and will play a key role in fostering a strong culture of compliance across the organization. This role will have a primary focus on employee supervision and Code of Ethics administration and will play a key role in fostering a strong culture of compliance by serving as a knowledgeable and approachable resource for employees seeking guidance on regulatory and ethical obligations across the organization.

The role includes supporting the firm’s preparedness for SEC examinations, monitoring compliance with applicable regulatory requirements, and contributing to the development of compliance tools, policies, and training programs designed to support business efficiency while maintaining robust regulatory oversight.

Focus provides team members the flexibility to work a hybrid schedule. Our hybrid model is defined as 3 days in office work required per week, while giving team members the option to work remotely 2 day per week, or as assigned by their team leader.

Primary Responsibilities 

• Continued implementation, development and enhancement of the firm’s comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and related manuals and policies
• Independently perform, manage, and oversee a substantial portion of the firm’s compliance testing program, including transactional, periodic, and forensic testing, and document results in accordance with regulatory expectations.
• Identify actual or potential conflicts of interest and assist in their evaluation, escalation, and elimination, mitigation, or ongoing management, as appropriate.
• Develop and maintain proficiency in the firm’s compliance-related technology platforms and systems (e.g., Salesforce, Orion) and leverage these tools to support effective compliance oversight and reporting.
• Assist in the design, implementation, and ongoing enhancement of internal compliance controls.
• Serve as a subject matter expert in the use of compliance monitoring and surveillance tools, including Global Relay, ACA Compliance Alpha, and Basis Code.
• Manage and monitor the Compliance mailbox, ensuring inquiries are addressed or appropriately escalated and delegated in a timely and consistent manner.
• Assist in the compliance supervision of employees including conducting branch office reviews/compliance audits
• Maintain a strong working knowledge of the Investment Advisers Act of 1940 and its implementing rules, as well as a strong working knowledge of the Investment Company Act of 1940.

Qualifications

• 3+ years of compliance, regulatory, or audit experience in the financial industry
• Bachelor’s degree in business or related field of study
• Microsoft Excel & Word
• Ability to utilize CRM system, such as Salesforce
• Strong problem solving and decision-making skills
• Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data
• Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving
• Extensive knowledge of the Investment Advisers Act of 1940, as amended
• Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management
• Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills
• Willing and able to learn and analyze securities laws
• Impeccable and unquestioned integrity and trust
• Trustworthy
• Capability to handle sensitive or confidential information and maintain confidentiality of that information
• Ability to work independently and be proficient at multi-tasking
• The individual will have demonstrated sound business judgment by developing and implementing compliance solutions that are effective and aligned with regulatory expectations and business needs and realities

The annualized base pay range for this role is expected to be between $75,000-$85,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set.  The base pay is just one component of the total compensation package for employees.  Other rewards may include an annual cash bonus and a comprehensive benefits package

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