Compliance Analyst: SEC Readiness & Ethics Tools

Talentify; St. Louis (MO); On-site; USD 62,000 - 72,000; Full time

Benefits offered by this job

Annual cash bonus

Comprehensive benefits package

Medical insurance

Dental insurance

Vision insurance

Life insurance

401(k)

Job summary

Focus Partners is seeking a Compliance Analyst in Missouri to support the Compliance Department with day-to-day administration of the firm's program and preparation for SEC examinations. You will oversee ACA Compliance Alpha and serve as a resource on regulatory guidance for in-house professionals.

The role requires at least a bachelor’s in business or related field and 1+ year in compliance or auditing in financial services. It offers base pay in 62k–72k with bonus and comprehensive benefits.

Qualifications

• Bachelor's degree in business or related field.
• 1+ years of compliance, regulatory, or audit experience in the financial industry.
• Ability to utilize CRM systems such as Salesforce.
• Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data.
• Extensive knowledge of the Investment Advisers Act of 1940, as amended.
• Attention to detail and strong organizational skills.
• Ability to learn and analyze securities laws.
• Integrity and ability to handle confidential information.

Responsibilities

• Continued implementation and enhancement of the firm's Compliance Program.
• Serve as the primary resource for Employee Compliance functions in ACA Compliance Alpha.
• Troubleshoot employee questions on ACA Compliance Alpha.
• Assist in onboarding/offboarding of employees in ACA Compliance Alpha.
• Identify conflicts of interest and assist in their management.
• Maintain proficiency in CRM and other compliance-related systems.
• Have strong knowledge of the Investment Advisers Act of 1940.

Skills

CRM (Salesforce)

Data analysis

Attention to detail

Independent work

Regulatory knowledge

Education

Bachelor's degree in business or related field

Tools

ACA Compliance Alpha

Job description

Focus Partners is seeking a Compliance Analyst in Missouri to support the Compliance Department with day-to-day administration of the firm's program and preparation for SEC examinations. You will oversee ACA Compliance Alpha and serve as a resource on regulatory guidance for in-house professionals.

The role requires at least a bachelor’s in business or related field and 1+ year in compliance or auditing in financial services. It offers base pay in 62k–72k with bonus and comprehensive benefits.