Compliance Analyst – RIA/BD, SEC & FINRA Focus

Diversify; Sandy (UT); On-site; USD 55,000 - 75,000; Full time

Benefits offered by this job

Medical with HSA/FSAs

401(k) with generous match

Team-oriented culture

4 weeks PTO + holidays + volunteer day

Job summary

Diversify, a wealth management firm, seeks a Junior Compliance Officer to support the Chief Compliance Officer and senior staff in day-to-day administration of the compliance program across RIA and BD lines.

This in-office, full-time role offers exposure to both regulatory areas and the firm's operations, with opportunities to build fluency in SEC and FINRA rules and to contribute to ongoing compliance initiatives.

Qualifications

• Series 7 and Series 66 required.
• Bachelor's degree preferred.
• Strong written and verbal communication skills; able to explain compliance clearly.

Responsibilities

• Assist in review of advertising or marketing prior to use or distribution with senior compliance officers.
• Support daily/weekly trade blotter review and exception report follow-up.
• Maintain and update Written Supervisory Procedures (WSPs) for broker-dealer activities.
• Assist with licensing, CRD/U4-U5 processing, CE tracking, outside business activity reviews.

Skills

Series 7 & Series 66

Relationship building

Attention to detail

Written & verbal communication

MS Office proficiency

Education

Bachelor's degree preferred

Tools

CRM surveillance tool

e-communication archiving

trade monitoring system

Job description

Diversify, a wealth management firm, seeks a Junior Compliance Officer to support the Chief Compliance Officer and senior staff in day-to-day administration of the compliance program across RIA and BD lines.

This in-office, full-time role offers exposure to both regulatory areas and the firm's operations, with opportunities to build fluency in SEC and FINRA rules and to contribute to ongoing compliance initiatives.