Senior Compliance Analyst
The Pinnacle Groups have partnered with a rapidly growing wealth management firm. Our client is looking for a Senior Compliance Analyst to monitor, analyze, and enforce compliance policies. This role will play a critical role in ensuring that the firm operates in full compliance with regulatory requirements across multi-state locations.
Primary Duties:
• Conduct routine compliance audits to ensure adherence to SEC and state regulatory requirements, documenting findings and recommending corrective actions.
• Prepare and file regulatory reports, including Form ADV, Form U4/U5, and state specific filings, ensuring accuracy and timeliness.
• Maintain and update the firm’s compliance policies and procedures, ensuring alignment with current regulations and best practices.
• Collaborate with team members to conduct compliance training for staff, fostering a culture of regulatory awareness and adherence.
• Monitor and analyze changes in regulatory requirements, assessing their impact on the firm and recommending necessary adjustments.
• Investigate and resolve compliance issues, escalating matters as necessary to the Chief Compliance & Legal Officer or Responsible Executive.
• Oversee the firm’s Code of Ethics adherence, managing personal securities transactions and attestations.
Requirements:
• Minimum of 5 years of experience in compliance within a Registered Investment Advisor (RIA) or similar financial services firm.
• In-depth knowledge of SEC and state RIA regulatory requirements, including familiarity with Form ADV and other compliance documentation.
• Strong analytical and organizational skills, with the ability to manage multiple tasks and meet strict deadlines.
• Ability to navigate and adapt to evolving regulatory landscapes and firm processes without predefined guidelines.
• Capable of developing and formalizing compliance workflows, policies, and procedures from the ground up.
• Able to take initiative, identify areas for improvement, and drive compliance solutions with minimal oversight.
• Ability to implement compliance frameworks that support a rapidly growing firm and evolving business needs.
• Bachelor’s degree preferred.
• Preference given to candidates with Series 65 or 66 .
The Pinnacle Groups work hard to pair top talent with great companies. We truly care about your success and your future, which is why we take the time to truly get to know both the employer and employee to make sure it’s a good match. We’re not just filling a seat, we’re building futures. Our service separates us from other staffing firms and has landed us on the Inc. 5000 fastest growing companies list. We currently connect people in Kansas City, Topeka, Wichita, Des Moines, Denver, Omaha, Dallas-Fort Worth, Phoenix, Tucson, Orlando and Jackson, MS markets.
EOE: Pinnacle provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.
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