Senior Compliance Analyst/Director

Summit Global Investments; Salt Lake City (UT); On-site; USD 70,000 - 120,000; Full time

Job summary

An established industry player is seeking a detail-oriented Sr. Compliance Analyst/Director to enhance their compliance program. This role involves supporting the Chief Compliance Officer, overseeing regulatory filings, and ensuring adherence to compliance requirements. The ideal candidate will have a strong background in investment compliance and regulatory frameworks, contributing to a culture of integrity and excellence. Join a collaborative team dedicated to investor protection and compliance best practices, where your expertise will make a significant impact on the firm's operational success.

Qualifications

• 5+ years of compliance experience in the investment management industry.
• Strong knowledge of the Investment Advisers Act of 1940 and FINRA rules.
• Experience with compliance software and reporting tools.

Responsibilities

• Support the Chief Compliance Officer in the administration of compliance programs.
• Oversee SEC regulatory filings and assist with FINRA filings.
• Conduct ongoing reviews to ensure compliance with federal securities laws.

Skills

Compliance Experience

Investment Advisers Act of 1940

FINRA Regulatory Requirements

Regulatory Filings

Analytical Skills

Organizational Skills

Communication Skills

Technological Proficiency

Education

Bachelor's Degree

Compliance Certification

Tools

Schwab Compliance Technologies

Smarsh

Job description

1 day ago Be among the first 25 applicants

We are a fast-growing, SEC-registered multi-billion-dollar investment advisory firm offering a collaborative and mission-driven work environment. We provide customized investment solutions and investment vehicles across multiple channels and pride ourselves on delivering excellence to our clients while maintaining a culture of integrity and compliance.

Position Summary

We are seeking an experienced and detail-oriented Sr. Compliance Analyst/Director to support the firm’s Chief Compliance Officer in managing the firm’s compliance program. The ideal candidate will have a strong understanding of the Investment Advisers Act of 1940, experience with both SEC and FINRA regulatory requirements, and familiarity with compliance issues specific to investment advisers, dual-registrants, and, ideally, 1940 Act Funds. This role is a key contributor in maintaining a culture of compliance and supporting the ongoing development and execution of our regulatory and operational controls.

Key Responsibilities

• Support the Chief Compliance Officer in the administration of the firm’s compliance program.
• Oversee the preparation and timely filing of SEC regulatory filings and assist with FINRA filings when applicable.
• Conduct ongoing reviews and testing of the firm’s policies and procedures to ensure compliance with federal securities laws and applicable regulations.
• Support advisor compliance activities, including monitoring of advertising/marketing materials, personal trading, outside business activities, and code of ethics reporting.
• Assist in preparing for and responding to regulatory examinations and audits.
• Maintain and update compliance manuals, policies, and procedures.
• Assist in the compliance oversight of affiliated mutual funds and ETFs.
• Collaborate with investment and client service teams to ensure firm-wide adherence to compliance requirements.
• Stay current on regulatory developments and industry best practices.

Qualifications

• Minimum of 5 years of compliance experience in the investment management industry.
• Strong knowledge of the Investment Advisers Act of 1940; familiarity with FINRA rules and the Investment Company Act of 1940 is highly preferred.
• Strong technological proficiency and ability to work with new software applications.
• Experience with regulatory filings and compliance testing.
• Strong organizational, communication, and analytical skills.
• Ability to work independently and collaboratively in a fast-paced, dynamic environment.
• Experience with compliance software and reporting tools a plus (e.g., Schwab Compliance Technologies, Smarsh, etc.).

Why Join Us

• Be part of a growing and respected firm committed to integrity and fiduciary excellence.
• Collaborate with industry veterans in a collegial and inclusive environment.
• Engage in meaningful work that supports investor protection and long-term firm sustainability.

Compensation

• Salary will be commensurate with experience and qualifications.

Seniority level

• Seniority level

  Mid-Senior level

Employment type

• Employment type

  Full-time

Referrals increase your chances of interviewing at Summit Global Investments by 2x

Sign in to set job alerts for “Senior Compliance Analyst” roles.

Salt Lake City, UT $20.00-$25.00 6 days ago

Compliance Officer, Marketing & Advisory

Salt Lake City, UT $70,000.00-$120,000.00 1 month ago

Senior Compliance Specialist, Risk Assessment

Cottonwood Heights, UT $86,400.00-$162,000.00 6 days ago

Compliance Manager, Regulatory Change Management

Cottonwood Heights, UT $105,600.00-$198,000.00 6 days ago

Manager-Compliance; Anti-Money Laundering

Salt Lake City, UT $115,000.00-$125,000.00 1 week ago

Salt Lake City Metropolitan Area 2 weeks ago

Salt Lake City, UT $110,000.00-$191,000.00 1 month ago

Sr Director, Ethics & Compliance Officer - North America

Sanctions Compliance Sr. Manager/Counsel

Central Compliance and Strategy Senior Manager

Cottonwood Heights, UT $124,800.00-$214,500.00 6 days ago

Salt Lake City, UT $64,000.00-$116,000.00 2 months ago

Lehi, UT $81,000.00-$125,000.00 2 weeks ago

Consultant for Chief Operations Officer and Chief Compliance Officer Functions

Salt Lake City Metropolitan Area 1 week ago

Senior Manager, Trade Compliance with OCR EASE Experience

Lead Contract Administrator (fully remote work options)

Lead Contract Administrator (fully remote work options)

Cottonwood Heights, UT $124,800.00-$214,500.00 6 hours ago

Salt Lake City Metropolitan Area 1 day ago

Product Compliance Manager, Cards & Rewards

We’re unlocking community knowledge in a new way. Experts add insights directly into each article, started with the help of AI.