Senior Compliance Analyst – SEC & RIA Compliance

Trajan Wealth LLC; Scottsdale (AZ); On-site; USD 90,000 - 105,000; Full time

Benefits offered by this job

Salary DOE

401(k) match

Medical coverage

Dental & Vision

Disability insurance

Life insurance

PTO & holidays

Job summary

Trajan Wealth LLC in Scottsdale, AZ is seeking a Senior Compliance professional to oversee the Investment Advisers Act and SEC requirements for our registered investment adviser. This onsite role requires five days in the office at our Scottsdale corporate office.You will review advertising, assist onboarding of advisors, manage regulatory disclosures and filings, and support testing and examinations.

Five+ years in investment adviser compliance are required; occasional travel for reviews or

Qualifications

• Minimum of five years' experience in the compliance area of an investment adviser or dual registrant.
• Experience reviewing marketing materials for investment advisers and/or broker dealers.
• Experience with code of ethics testing and 206(4)-7 reporting.
• Experience onboarding advisors and use of Web CRD, including coordination with states for fingerprinting; insurance licensing a plus.
• Experience conducting compliance testing and reporting.
• Demonstrated ability to work independently, conduct independent research, and exercise sound judgement prior to escalation.

Responsibilities

• Review advertising to ensure compliance with the Advisers Act Marketing Rule and state requirements.
• Assist onboarding of advisors, including Code of Ethics reporting and licensing.
• Manage data collection and analysis related to performance composites and regulatory disclosures.
• Assist in 206(4)-7 testing and familiarity with 13F process and filings.
• Prioritize regulatory examination requests, ADV/EDGAR disclosures, and client-related matters.
• Handle sensitive and confidential information with utmost diligence.
• Occasional travel may be required for office reviews or seminars.

Job description

Trajan Wealth LLC in Scottsdale, AZ is seeking a Senior Compliance professional to oversee the Investment Advisers Act and SEC requirements for our registered investment adviser. This onsite role requires five days in the office at our Scottsdale corporate office.You will review advertising, assist onboarding of advisors, manage regulatory disclosures and filings, and support testing and examinations.

Five+ years in investment adviser compliance are required; occasional travel for reviews or