Compliance Analyst - Retirement (Remote)

NFP, an Aon company; Aliso Viejo (CA); Remote; USD 45,000 - 57,000; Full time

Job summary

A financial services firm in California is seeking a full-time Compliance Analyst to join its compliance team. The ideal candidate will support the Chief Compliance Officer in implementing the compliance program and must have a strong attention to detail, excellent communication skills, and a bachelor’s degree in finance or economics. The salary is competitive, ranging from $45,000 to $57,000.

Benefits

Competitive salary

Paid time off & paid holidays

401(k) with match

Health & wellness programs

Qualifications

• Minimum of a bachelor’s degree in finance, economics, or other related discipline.
• 1-2 years of industry or compliance experience a plus.
• Interest in retirement consulting and investment concepts.

Responsibilities

• Develop and update compliance policies in response to regulatory changes.
• Manage new employee compliance onboarding.
• Conduct compliance training and periodic testing.

Skills

Analytical mindset

Attention to detail

Communication skills

Proficiency in Microsoft applications

Ability to prioritize multiple tasks

Education

Bachelor’s degree in finance or economics

Job description

NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance. We are an organization of consultative advisors and problem solvers. We help companies and individuals around the globe address their most significant risk, workforce, wealth management and retirement challenges through custom solutions and a people-first approach.

NFP Retirement is seeking to hire a full-time Compliance Analyst to join its compliance team. As a member of the firm’s compliance team, the Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program. The position offers diversified experience across all functional areas of an investment advisory firm and interaction with a broad range of internal and external stakeholders.

The ideal candidate is a self-starter with a strong work ethic who has excellent communication skills and attention to detail. This person must be willing to provide the highest level of client service, professionalism, and confidentiality. Furthermore, this person must be able to efficiently prioritize tasks and consistently meet deadlines.

Essential Duties, And Responsibilities

• Develop and update compliance policies in response to regulatory changes
• Manage new employee compliance onboarding, including Code of Ethics, compliance training, and onboarding employees to our Compliance Onboarding Platform
• Conduct compliance training and periodic testing
• Support monitoring and testing
• Assist with SEC regulatory filings, including Form ADV updates, U4s, etc
• Assist with building / enhancing foundational compliance functions, including Complaint Management, Marketing Review, Audits, and Examinations
• Collaborate across divisions and stakeholders to be seen as a trusted problem solver and adviser

Knowledge, Skills, And/or Abilities

• Interest in, or familiarity with, the retirement consulting and wealth management businesses and investment concepts
• Logical judgment, detail-oriented, and ability to prioritize multiple tasks simultaneously
• Analytical mindset with a strong attention to detail
• High energy and highly self-motivated with the ability to thrive in an entrepreneurial environment
• Ability to work collaboratively with multiple levels within the organization
• Proficiency in Microsoft applications
• Familiarity with RIA compliance requirements under the Investment Advisers Act of 1940 a plus

Education And/or Experience

• Minimum of a bachelor’s degree in finance, economics, or other related discipline
• Experience and interest in execution (doing) and strategy (building)
• 1-2 years of industry or compliance experience a plus

What We Offer

We're proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $45,000 to $57,000.

NFP is an inclusive Equal Employment Opportunity employer.