Investment Compliance Analyst — Remote Surveillance & Reporting

OneDigital Investment Advisors LLC; United States; Hybrid; USD 90,000 - 100,000; Full time

Benefits offered by this job

Health benefits

Retirement plan

Learning and development programs

Job summary

OneDigital Investment Advisors LLC seeks an Investment Compliance Analyst to support surveillance, testing and reporting of investment activities, ensuring adherence to policies and regulatory requirements.

The role partners with Compliance, Investment Committee, and operations to monitor programs, prepare leadership reports, and respond to regulatory inquiries, with a base pay range of $90k–$100k.

Remote options available and a path for professional growth in a collaborative, diverse environment.

Qualifications

• Undergraduate degree in business, finance, economics, accounting, or related field.
• 5+ years in financial services, Investments, Trading, Operations, Technology, Compliance.
• Experience with investment data analysis and reporting; compliance software/systems preferred.
• Knowledge of SEC/FINRA rules and investment policy implications.

Responsibilities

• Maintain investment surveillance and testing program and related tech systems.
• Monitor program efficiency and recommend enhancements as needed.
• Perform surveillance, testing, and analysis of trading activity for violations.
• Prepare reports to CCO, Investment Committee, and leadership on program status.
• Assist annual testing of compliance policies and respond to regulatory inquiries.

Skills

Security types knowledge

Fiduciary governance

Laws impact interpretation

Time management

Communication skills

Education

Undergraduate degree in business/finance/economics

Tools

Power BI

SQL

Snowflake

Job description

OneDigital Investment Advisors LLC seeks an Investment Compliance Analyst to support surveillance, testing and reporting of investment activities, ensuring adherence to policies and regulatory requirements.

The role partners with Compliance, Investment Committee, and operations to monitor programs, prepare leadership reports, and respond to regulatory inquiries, with a base pay range of $90k–$100k.

Remote options available and a path for professional growth in a collaborative, diverse environment.