Compliance Analyst – IA Administration

Jobtailor; Arizona; On-site; USD 60,000 - 90,000; Full time

Job summary

Jobtailor is seeking a compliance professional to respond to inquiries from financial advisors and internal teams on investment advisory compliance matters. You will guide routine questions, support Form ADV Part 2B maintenance, and assist with onboarding and maintaining Investment Advisor Representatives.

The role requires strong communication, analytical thinking, and time management, with FINRA licenses and experience valued but not strictly required.

Qualifications

• Bachelor’s degree preferred; HS diploma or GED with significant experience considered.
• Minimum of two years of relevant experience with broker/dealer, registered investment adviser, regulatory agency, or similar financial institution.
• Excellent verbal and written communication skills.
• Proficient with MS Office (Word, Excel, PowerPoint, Outlook).
• Strong analytical thinking, problem solving, research, and time management.
• Prior customer service experience preferred.
• FINRA Series 7, 24, 66 or 63/65 a plus.
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred.

Responsibilities

• Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters.
• Provide guidance and support on routine compliance questions, policies, procedures, and administrative processes.
• Assist with the review and maintenance of Form ADV Part 2B Brochure Supplements.
• Support the onboarding and maintenance of Investment Advisor Representatives (IARs).
• Coordinate with Compliance Operations, Supervision, Legal, and other internal departments to resolve advisor inquiries and support business initiatives.
• Monitor assigned workflows and ensure tasks are completed accurately and within established service standards.
• Review and update desktop procedures when necessary.
• Perform all other duties as assigned.

Skills

Verbal Communication

Written Communication

Analytical Thinking

Problem Solving

Time Management

Customer Service Experience

MS Office Proficiency

Education

Bachelor’s Degree Preferred; HS Diploma or GED certificate + Significant Practical Experience will be considered

Tools

MS Office (Word, Excel, PowerPoint, Outlook)

Job description

• Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters
• Provide guidance and support on routine compliance questions, policies, procedures, and administrative processes
• Assist with the review and maintenance of Form ADV Part 2B Brochure Supplements
• Support the onboarding and maintenance of Investment Advisor Representatives (IARs)
• Coordinate with Compliance Operations, Supervision, Legal, and other internal departments to resolve advisor inquiries and support business initiatives
• Monitor assigned workflows and ensure tasks are completed accurately and within established service standards
• Review and update desktop procedures when necessary
• Perform all other duties as assigned

Requirements

• Bachelor’s Degree Preferred; H.S. Diploma or GED certificate + Significant Practical Experience will be considered
• Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution
• Excellent verbal and written communication skills
• Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
• Strong abilities in analytical thinking, problem solving, research, and time management
• Prior Customer Service experience preferred
• FINRA Series 7, 24, 66 or 63/65 a plus
• Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred

Core Competencies

Demonstrates expertise in investment advisory compliance, including knowledge of relevant regulations and the ability to provide guidance on compliance matters. Proficient in communication and analytical skills to effectively support financial advisors and internal departments.

Highest-signal resume keywords

• Investment Advisers Act of 1940
• Securities Act of 1933
• FINRA Series 7
• MS Office Proficiency
• Customer Service Experience

ATS Optimization Keywords

Hard Skills

• Compliance Review
• Form ADV Part 2B Maintenance
• Analytical Thinking
• Problem Solving
• Research Skills
• Time Management

Soft Skills

• Verbal Communication
• Written Communication

Certifications & Qualifications

• FINRA Series 24
• FINRA Series 66
• FINRA Series 63
• FINRA Series 65

Industry Keywords

• Broker/Dealer
• Registered Investment Adviser
• Regulatory Agency
• Financial Institution
• Compliance Operations