Focus Financial Partners Inc.
Compliance Analyst
Position Summary: The Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm's Compliance Program. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and is in compliance with regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource to in-house professionals seeking regulatory guidance. The Compliance Analyst will work to help develop compliance tools and educational training programs for internal professionals allowing these professionals to leverage their valuable time. The Compliance Analyst will assist with necessary regulatory filings and ensure responsibilities are met for each of the firm's associates and entities. Responsibilities: Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies Independently be responsible for and perform or oversee the majority of the compliance testing (transactional, periodic and forensic) of the firm's Compliance Program Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict Assist in the development of internal compliance controls Be a subject matter resource in using compliance support technologies, such as Global Relay, ACA Compliance Alphaand Basis Code Maintain a proficiency for working within various technology systems (CRM, Portfolio & Accounting, etc.) utilized by the Firm for compliance purposes Independently be responsible for drafting and submitting regulatory filings through the IARD/CRD system Have a strong knowledge of Investment Advisers Act of 1940 If applicable, have a strong working knowledge of the Investment Company Act of 1940 Manage and review incoming marketing requests in Red Oak to ensure compliance with the SEC's Advertising Rule Partner with internal teams like Communication and Creative Services and Investment Strategy to ensure collaboration and adherence to federal securities law Responsible for the ultimate approval/denial of all marketing requests. Serve as a liaison or primary contact for other departments or area of oversight Qualifications: 1-2 years of compliance, regulatory, or audit experience in the financial industry Bachelor's degree in business or related field of study Microsoft Excel & Word Ability to utilize CRM system, such as Salesforce Strong problem solving and decision-making skills Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving Extensive knowledge of the Investment Advisers Act of 1940, as amended Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills Willing and able to learn and analyze securities laws Impeccable and unquestioned integrity and trust
Position Summary: The Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm's Compliance Program. The Compliance Analyst will help ensure that the firm is fully prepared for an SEC examination and is in compliance with regulatory requirements. The Compliance Analyst will help foster a culture of compliance and serve as a resource to in-house professionals seeking regulatory guidance. The Compliance Analyst will work to help develop compliance tools and educational training programs for internal professionals allowing these professionals to leverage their valuable time. The Compliance Analyst will assist with necessary regulatory filings and ensure responsibilities are met for each of the firm's associates and entities. Responsibilities: Continued implementation, development and enhancement of the firm's comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies Independently be responsible for and perform or oversee the majority of the compliance testing (transactional, periodic and forensic) of the firm's Compliance Program Identify conflicts of interest and assist in the elimination, mitigation or management of the conflict Assist in the development of internal compliance controls Be a subject matter resource in using compliance support technologies, such as Global Relay, ACA Compliance Alphaand Basis Code Maintain a proficiency for working within various technology systems (CRM, Portfolio & Accounting, etc.) utilized by the Firm for compliance purposes Independently be responsible for drafting and submitting regulatory filings through the IARD/CRD system Have a strong knowledge of Investment Advisers Act of 1940 If applicable, have a strong working knowledge of the Investment Company Act of 1940 Manage and review incoming marketing requests in Red Oak to ensure compliance with the SEC's Advertising Rule Partner with internal teams like Communication and Creative Services and Investment Strategy to ensure collaboration and adherence to federal securities law Responsible for the ultimate approval/denial of all marketing requests. Serve as a liaison or primary contact for other departments or area of oversight Qualifications: 1-2 years of compliance, regulatory, or audit experience in the financial industry Bachelor's degree in business or related field of study Microsoft Excel & Word Ability to utilize CRM system, such as Salesforce Strong problem solving and decision-making skills Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving Extensive knowledge of the Investment Advisers Act of 1940, as amended Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills Willing and able to learn and analyze securities laws Impeccable and unquestioned integrity and trust