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Summit Global Investments

Senior Compliance Analyst/Director

Summit Global Investments, Salt Lake City, Utah, United States, 84193

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1 day ago Be among the first 25 applicants We are a fast-growing, SEC-registered multi-billion-dollar investment advisory firm offering a collaborative and mission-driven work environment. We provide customized investment solutions and investment vehicles across multiple channels and pride ourselves on delivering excellence to our clients while maintaining a culture of integrity and compliance. Position Summary We are seeking an experienced and detail-oriented Sr. Compliance Analyst/Director to support the firm’s Chief Compliance Officer in managing the firm’s compliance program. The ideal candidate will have a strong understanding of the Investment Advisers Act of 1940, experience with both SEC and FINRA regulatory requirements, and familiarity with compliance issues specific to investment advisers, dual-registrants, and, ideally, 1940 Act Funds. This role is a key contributor in maintaining a culture of compliance and supporting the ongoing development and execution of our regulatory and operational controls. Key Responsibilities Support the Chief Compliance Officer in the administration of the firm’s compliance program. Oversee the preparation and timely filing of SEC regulatory filings and assist with FINRA filings when applicable. Conduct ongoing reviews and testing of the firm’s policies and procedures to ensure compliance with federal securities laws and applicable regulations. Support advisor compliance activities, including monitoring of advertising/marketing materials, personal trading, outside business activities, and code of ethics reporting. Assist in preparing for and responding to regulatory examinations and audits. Maintain and update compliance manuals, policies, and procedures. Assist in the compliance oversight of affiliated mutual funds and ETFs. Collaborate with investment and client service teams to ensure firm-wide adherence to compliance requirements. Stay current on regulatory developments and industry best practices. Qualifications Minimum of 5 years of compliance experience in the investment management industry. Strong knowledge of the Investment Advisers Act of 1940; familiarity with FINRA rules and the Investment Company Act of 1940 is highly preferred. Strong technological proficiency and ability to work with new software applications. Experience with regulatory filings and compliance testing. Strong organizational, communication, and analytical skills. Ability to work independently and collaboratively in a fast-paced, dynamic environment. Experience with compliance software and reporting tools a plus (e.g., Schwab Compliance Technologies, Smarsh, etc.). Why Join Us Be part of a growing and respected firm committed to integrity and fiduciary excellence. Collaborate with industry veterans in a collegial and inclusive environment. Engage in meaningful work that supports investor protection and long-term firm sustainability. Compensation Salary will be commensurate with experience and qualifications. Seniority level

Seniority level Mid-Senior level Employment type

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