Compliance Analyst

Position Summary

The Compliance Analyst assists the Chief Compliance Officer and Compliance Officer in overseeing all regulatory requirements under which the Firm operates, including the statutes, regulations, and other guidance relevant to Registered Investment Advisers and Broker Dealers.  The Analyst will participate in the implementation of certain policies and procedures designed to detect and prevent violations of federal and state securities laws, industry regulations and firm policies and procedures, and will participate in the mitigation of compliance and operational risk.

Primary Roles and Responsibilities

  • Monitor, review and revise policies and procedures related to the firm’s advisory and broker dealer activities
  • Review daily portfolio compliance monitoring tool, researching and escalating exceptions as needed.
  • Participate in risk testing process
  • Participate in reviewing firm communications and marketing materials.
  • Assist with electronic communication reviews
  • Assist with daily trading reviews
  • Assist with daily, monthly and quarterly record reconciliations.
  • Participate in annual compliance reviews
  • Prepare regulatory filings, including Forms ADV, 13F, BD, U4 and U5.
  • Prepare compliance training materials
  • Support projects related to the enhancements of the compliance program and strategic initiatives.
  • Other projects and duties as needed

Required Qualifications

  • Bachelor’s or Associate level degree
  • Minimum 2-5 years of relevant experience in the financial services industry 
  • Experience with investment adviser compliance, investment company compliance, and/or broker dealer compliance, (candidates with some degree of experience in all three areas are strongly preferred)
  • Excellent written and verbal communication skills, including the ability to interact effectively with individuals at all levels of the firm
  • Ability to work successfully both independently and in a team environment
  • Ability to manage many tasks and prioritize throughout the day
  • Strong team building skills
  • Organizational skills and time management
  • Proficient with Microsoft Office

Desired Qualifications

  • Experience with investment adviser compliance, investment company compliance, and/or broker dealer compliance, (candidates with some degree of experience in all three areas are strongly preferred)
  • Knowledge of FINRA and SEC Rules and Regulations
  • Series 7, 63, 65/66
  • Experience with order management systems, SEC/FINRA regulatory modules (e.g, Firm Gateway, EDGAR, Smarsh, and/or Compliance Science PTCC

How to apply for Compliance Analyst role: submit resumes to WBIHR@wbiinvestments.com