Opportunity: A fast-growing investment advisory firm seeks a Compliance Analyst for its Phoenix office. The position allows for creative thinking of new ideas, systems, or plans, and innovative problem solving. Employees seeking to gain industry experience from a wide range of client exposure and work in a fast paced and dynamic environment will excel in this role.

‍Position Summary: We are seeking a knowledgeable and proactive compliance analyst to ensure regulatory compliance for our firm and our affiliates. As a compliance analyst, your duties will include training employees on industry standards and procedures, developing and testing policies, and evaluating compliance with procedures and regulations.

‍Compliance Analyst Responsibilities:

Researching industry compliance regulations and policies.
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Evaluating internal operational and procedural compliance.
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Analyzing and updating existing compliance policies and related documentation.
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Communicating compliance policies and guidelines to Management and affiliates.
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Developing and executing new compliance policies and procedures as required.
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Training employees and affiliates on compliance requirements.
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Maintaining communication with internal stakeholders and affiliates.
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Keeping up with compliance requirements and amendments to regulations.
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‍Successful candidates will have many, if not all, of the attributes below:
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- Industry-related Bachelor's degree or accredited compliance management certification.
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- Previous experience as a compliance analyst in an RIA is a plus.
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- In-depth knowledge of investment advisory compliance requirements and standards.
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- Ability to formulate compliance policies, procedures, and related documentation.
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- Advanced analytical abilities.
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- Effective research and professional networking skills.
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- Ability to effectively train employees.
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- Exceptional communication and interpersonal skills.
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‍Benefits:·        

Our salary is commensurate with experience. We offer comprehensive benefits, including health, dental, vision, ancillary benefits and a highly competitive 401(k) plan.
Paid Time Off (Vacation, Sick & Public Holidays)
Family Leave (Maternity, Paternity)
Fun work environment with dynamic team!