Senior Compliance Analyst - Regulatory Risk & Testing

Kids for the Future; Lexington (KY); On-site; USD 90,000 - 130,000; Full time

Job summary

Kids for the Future in Lexington, KY seeks a Sr. Compliance Analyst to support the firm’s risk-based compliance program, reporting to the Director of Compliance and Chief Compliance Officer to ensure adherence to regulatory requirements and internal policies.

The role involves implementing the compliance testing and monitoring program, supporting regulatory filings, reviewing marketing materials for compliance, and maintaining accurate records.

Qualifications

• Bachelor’s degree in finance, business, accounting, law, or related field.
• 4–7 years of investment adviser or financial services compliance experience.
• Experience supporting an SEC-registered investment adviser preferred.

Responsibilities

• Execute compliance testing, monitoring, and risk assessment program.
• Support regulatory filings, disclosures, and policy updates.
• Review marketing material for regulatory compliance.
• Assist with regulatory examinations, inquiries, and training.
• Maintain records and oversee training materials.

Skills

Communication

Analytical Thinking

Growth Mindset

Technical Proficiency

Education

Bachelor’s degree or equivalent

Tools

CRM systems

Document management systems

Compliance tools

Job description

Kids for the Future in Lexington, KY seeks a Sr. Compliance Analyst to support the firm’s risk-based compliance program, reporting to the Director of Compliance and Chief Compliance Officer to ensure adherence to regulatory requirements and internal policies.

The role involves implementing the compliance testing and monitoring program, supporting regulatory filings, reviewing marketing materials for compliance, and maintaining accurate records.