Compliance Analyst

Focus Financial Partners; St. Louis (MO); On-site; USD 62,000 - 72,000; Full time

Benefits offered by this job

Medical, dental, vision

401(k)

Bonus potential

Job summary

Focus Partners is seeking a Compliance Analyst to manage day-to-day administration of the Compliance Program and prepare for SEC examinations. You will oversee ACA Compliance Alpha, ensure regulatory adherence, and support internal teams with guidance on compliance matters.

The role requires a Bachelor's degree, 1+ years in regulatory/compliance, and strong data analysis with integrity. A comprehensive benefits package and potential bonus are included.

Qualifications

• Bachelor's degree in business or related field
• 1+ years of compliance, regulatory, or audit experience in the financial industry
• CRM systems such as Salesforce
• Ability to analyze and summarize data and apply critical thinking
• Extensive knowledge of the Investment Advisers Act of 1940
• 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
• Capability to handle sensitive or confidential information and maintain confidentiality of that information
• Ability to work independently and be proficient at multi-tasking
• Sound business judgment in developing and implementing compliant solutions

Responsibilities

• Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies.
• Be a subject matter resource in using compliance support technologies, specifically ACA Compliance Alpha.
• Serve as the primary resource for Employee Compliance functions in ACA Compliance Alpha including personal trading, linking/delinking brokerage accounts, employee certifications, items of interest, and anti-money laundering screening and overall maintenance of the system.
• Troubleshoot employee questions/issues on ACA Compliance Alpha
• Assist in the Onboarding and Offboarding of employees from ACA Compliance Alpha, including managing large scale integration projects via merger and acquisition.
• Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict
• Maintain a proficiency for working within various technology systems (CRM, Portfolio & Accounting, etc.) utilized by the Firm for compliance purposes
• Have a strong knowledge of Investment Advisers Act of 1940

Skills

CRM systems

Data analysis

Regulatory knowledge

Attention to detail

Independent worker

Strong judgment

Education

Bachelor's degree in business or related field

Tools

Salesforce

Job description

Job Description Summary

The 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. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and meets key regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource for in-house professionals seeking regulatory guidance. The Compliance Analyst will oversee the Firm's Code of Ethics Reporting Tool (ACA Compliance Alpha) to ensure all employees are adhering to both regulatory and internal requirements.

The 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. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and meets key regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource for in-house professionals seeking regulatory guidance. The Compliance Analyst will oversee the Firm's Code of Ethics Reporting Tool (ACA Compliance Alpha) to ensure all employees are adhering to both regulatory and internal requirements.

Job Description

Primary Responsibilities

• Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies.
• Be a subject matter resource in using compliance support technologies, specifically ACA Compliance Alpha.
• Serve as the primary resource for Employee Compliance functions in ACA Compliance Alpha including personal trading, linking/delinking brokerage accounts, employee certifications, items of interest, and anti-money laundering screening and overall maintenance of the system.
• Troubleshoot employee questions/issues on ACA Compliance Alpha
• Assist in the Onboarding and Offboarding of employees from ACA Compliance Alpha, including managing large scale integration projects via merger and acquisition.
• Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict
• Maintain a proficiency for working within various technology systems (CRM, Portfolio & Accounting, etc.) utilized by the Firm for compliance purposes
• Have a strong knowledge of Investment Advisers Act of 1940

Qualifications

• Bachelor's degree in business or related field of study
• 1+ years of compliance, regulatory, or audit experience in the financial industry
• Ability to utilize CRM systems such as Salesforce
• Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data
• Extensive knowledge of the Investment Advisers Act of 1940, as amended
• 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
• 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

This position is an exempt position. The annualized base pay range for this role is expected to be between $62,000-$72,000 base salary compensation range. Actual base pay may 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. Other rewards may include an annual cash bonus and a comprehensive benefits package, including but not limited to medical, dental, vision, life insurance, and 401(k). Please note that the job title is subject to change based on the selected candidate’s experience and education.

Focus Partners is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, Focus Partners supports clients at every stage of life, helping them manage their financial future. Focus Partners uses research-backed investment strategies to create custom-built portfolios and delivers personalized wealth planning solutions to clients in all 50 states. Focus Partners is part of Focus, a leading financial services firm comprised of wealth management, family office, and business management services.

To learn more about Focus, visit focuspartners.com or follow the company on LinkedIn.

Focus is a leading financial services firm comprised of integrated wealth management, family office, and business management services. Blending deep expertise and expansive resources with a boutique, client-first fiduciary philosophy, Focus helps individuals, families, and institutions navigate complex financial situations with highly personalized solutions tailored to their unique needs. To learn more about Focus, visit www.focusfinancialpartners.com or follow the company on LinkedIn.

EEO Statement

Focus is an equal opportunity employer and bases its employment decisions on the employee or candidate's skillset, and without regard to an employee or candidate's race, color, religion, sex (including pregnancy), gender identity, sexual orientation, national origin, age, disability, genetic information, veteran status, or any other characteristic protected by local, state and/or federal law.

The following language is for US based roles only

For California Applicants:

Information on your California privacy rights can be found here

For Indiana Applicants:

It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States, a member of the Indiana National Guard or a member of a reserve component.

For Maryland Applicants:

I UNDERSTAND THAT UNDER MARYLAND LAW, AN EMPLOYER MAY NOT REQUIRE OR DEMAND, AS A CONDITION OF EMPLOYMENT, PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT, THAT ANY INDIVIDUAL SUBMIT TO OR TAKE A POLYGRAP OR SIMILAR TEST. AN EMPLOYER WHO VIOLATES THIS LAW IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100.

For Massachusetts Applicants:

It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this shall be subject to criminal penalties and civil liability.

For Montana Applicants:

If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. Mont. Code Ann. Section 39-2-901.

For Rhode Island Applicants:

Focus is subject to Chapters 29-38 of Title 28 of the General Laws of Rhode Island and is therefore covered by the state’s workers’ compensation law. If you willfully provide false information about your ability to perform the essential functions of the job, with or without reasonable accommodations, you may be barred from filing a claim under the provisions of the Workers’ Compensation Act of the State of Rhode Island if the false information is directly related to the personal injury that is the basis for the new claim for compensation. The Company complies fully with the Americans with Disabilities Act.