Compliance Analyst — ACA Alpha & SEC Readiness

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

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.