Investment Compliance Specialist

SPECTRAFORCE; Alpharetta (GA); On-site; USD 80,000 - 90,000; Full time

Benefits offered by this job

PTO + 10 paid holidays

Daily paid lunch (on-site)

EAP & mental health telehealth

Short/Long Term Disability

SIMPLE IRA with 3% match

Job summary

A financial services firm in Alpharetta is seeking a Compliance Analyst responsible for ensuring trading activities comply with securities laws and regulations. The successful candidate will maintain trade compliance rules, engage with stakeholders, and conduct audits. Ideal applicants have 1–3 years of experience in ETF/mutual fund compliance and strong organizational skills. The position offers competitive compensation and benefits including PTO, on-site lunch, and a SIMPLE IRA match.

Qualifications

• 1–3 years of relevant experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

Responsibilities

• Maintain and monitor pre- and post-trade compliance rules.
• Analyse daily trades for compliance with regulations.
• Flag and escalate suspicious or non-compliant activity.
• Conduct audits to test control effectiveness.
• Support new account onboarding and launch calls.
• Monitor regulatory changes and help implement policies.

Skills

Experience in ETF/mutual fund trade compliance

Detail-oriented

Strong organizational skills

Strong communication skills

Self-motivated

Proficient in Microsoft Office

Education

Bachelor's degree or equivalent experience

Tools

Bloomberg CMGR

Job description

Overview

We are seeking a highly motivated Compliance Analyst to join our firm in Alpharetta, Georgia. This role is key to ensuring trading activities comply with securities laws, regulations, and investment guidelines. The successful candidate will develop, monitor, and maintain trade compliance rules in the order management systems and engage with internal and external compliance stakeholders. This position is part of the Compliance Department of our company.

Title: Compliance Analyst

Location: Alpharetta, Georgia

Duration: Full-Time/Permanent

Base pay range

$80,000.00/yr - $90,000.00/yr

Responsibilities

• Maintain and monitor pre- and post-trade compliance rules in order management systems.
• Analyse daily trades for compliance with the Investment Company Act of 1940, UCITS, and prospectus limits.
• Flag and escalate suspicious or non-compliant activity.
• Improve compliance rule accuracy and analyse related data and filings.
• Conduct audits to test control effectiveness and maintain compliance records.
• Support new account onboarding and launch calls.
• Collaborate with internal teams and external partners.
• Monitor regulatory changes and help implement updated policies.
• Complete client and third-party compliance questionnaires.
• Perform additional duties as assigned.

Qualifications

• Experience in ETF/mutual fund trade compliance required; Bloomberg CMGR a plus.
• Detail-oriented with strong organizational and communication skills.
• Self-motivated, proactive, and able to work independently or in a team.
• Proficient in Microsoft Office.
• 1–3 years of relevant experience.
• Bachelor’s degree or equivalent experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

What Do We Offer?

• PTO + 10 paid holidays
• Daily paid lunch (on-site)
• EAP & mental health telehealth
• Short/Long Term Disability
• SIMPLE IRA with 3% match