Regulatory Compliance Analyst — Financial Services

Prosperity - An EisnerAmper Company; Woodbridge Township (NJ); On-site; USD 110,000 - 140,000; Full time

Job summary

Prosperity – An EisnerAmper Company is seeking a Compliance professional to lead and execute the regulatory compliance program for Retirement Plan Services. This role combines technical expertise, business development leadership, and operational responsibility to deliver a scalable, high-quality retirement plan offering across the firm.

The ideal candidate will support day-to-day compliance activities, review policies, monitor filings, and assist with regulatory examinations while collaborating

Qualifications

• Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or a related field.
• 3–5 years of experience in compliance, regulatory affairs, audit, operations, or the financial services industry.

Responsibilities

• Support day-to-day administration, monitoring, and maintenance of the firm's regulatory compliance program.
• Assist with reviewing, updating, and implementing compliance policies and procedures to ensure alignment with regulatory requirements and firm standards.
• Maintain and monitor the compliance calendar, ensuring regulatory filings, internal reviews, and compliance obligations are completed accurately and on time.
• Review new account opening documentation to ensure completeness, accuracy, and adherence to regulatory and internal compliance requirements.
• Assist with regulatory examinations, audits, and information requests by gathering documentation, organizing records, and coordinating timely responses.
• Conduct due diligence reviews of vendors and third-party service providers, including monitoring ongoing compliance requirements.
• Review marketing, advertising, and client-facing materials to ensure compliance with applicable regulations and firm policies.
• Support the administration of the firm's Code of Ethics program, including employee attestations, personal trading reviews, and related compliance monitoring.
• Stay informed of regulatory developments and industry trends, helping communicate relevant updates and potential impacts to employees and management.
• Serve as a resource for employees regarding compliance-related questions, escalating potential concerns or regulatory issues when appropriate.
• Collaborate with internal stakeholders to identify opportunities for process improvements and strengthen compliance practices.
• Participate in special projects and other compliance initiatives as needed.
• Travel occasionally to firm offices and training events as required.

Skills

Interpersonal skills

Communication

Analytical thinking

Problem-solving

Education

Bachelor's degree in Finance, Business, Economics, Accounting, Legal Studies, or related field

Tools

MS Office

Job description

Prosperity – An EisnerAmper Company is seeking a Compliance professional to lead and execute the regulatory compliance program for Retirement Plan Services. This role combines technical expertise, business development leadership, and operational responsibility to deliver a scalable, high-quality retirement plan offering across the firm.

The ideal candidate will support day-to-day compliance activities, review policies, monitor filings, and assist with regulatory examinations while collaborating