Compliance Analyst — Grow into Senior Compliance Leader

Stealth; Atlanta (GA); Vor Ort; USD 60.000 - 90.000; Vollzeit

Benefits dieser Stelle

Medical insurance

Dental insurance

401(k)

Zusammenfassung

Stealth is confidential, SEC-registered, fee-only RIA in Atlanta, seeking a Compliance Analyst to support the day-to-day compliance program under the Chief Compliance Officer and senior staff.

This early-career role focuses on testing, monitoring, and documentation to maintain a strong compliance framework, with growth toward a senior compliance position in a client-first fiduciary culture.

Qualifikationen

• Bachelor's degree in finance, business, law, or related field.
• 3-5 years of experience in compliance, legal, or risk management at an RIA, broker-dealer, or related financial firm.
• Working knowledge of SEC and Investment Advisers Act regulations.

Aufgaben

• Support execution of the firm's annual and quarterly compliance testing program.
• Assist with random sampling audits for policy adherence.
• Review marketing materials for compliance approval.
• Document testing and remediation in the firm's compliance software.
• Track corrective action plans and follow up on open items.

Kenntnisse

Attention to detail

Organizational skills

Independent work

Documentation

Multitasking

Ausbildung

Bachelor's degree in finance, business, law, or related field

Jobbeschreibung

Stealth is confidential, SEC-registered, fee-only RIA in Atlanta, seeking a Compliance Analyst to support the day-to-day compliance program under the Chief Compliance Officer and senior staff.

This early-career role focuses on testing, monitoring, and documentation to maintain a strong compliance framework, with growth toward a senior compliance position in a client-first fiduciary culture.