Investment Compliance Analyst

About this role

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:

• Provide support to the overall Compliance Program

• Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies.

• Work with Compliance Directors to support new compliance initiatives.

• Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.

• Utilize Compliance Software to manage components of the Compliance Program.

• Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop.

• Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.

• Additional Responsibilities

o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members.
o Perform additional projects and tasks in support of the Stratos Compliance program as assigned.
Requirements
Skills / Key Competencies Required:
· Bachelor’s degree
· FINRA SIE, Series 7, 24 and 65/66

• 3-5 years’ experience with an investment advisory firm

• Ability to communicate positively and effectively compliance requirements to investment advisory representatives

· Minimal travel required

• Attention to Detail / Data Organization

· Proficient with technology

• Effective communication skills, written and verbal

• Ability to work in a fast-paced, changing environment

• Collaborative mentality; strong team orientation

Originally posted on Himalayas