Compliance Analyst

The advisor onboarding analyst will act as a liaison between our Supervisory Principals and prospective advisors during the onboarding due diligence process. The analyst will perform the following essential functions:

Essential Functions:

1. Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors

2. First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join

3. First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews

4. Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations

5. Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives

6. Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision

7. Identifies suspicious risk profiles and ensures all appropriate information and details are gathered in order to make an appropriate decision

Qualifications:

o Undergraduate degree in Business, Accounting, Finance or related discipline

o Licenses/Certifications Required: Series 7, Series 24

o Ability to work in a fast paced/high volume environment and be flexible with work schedule

o Ability to multi-task, strong attention to detail, and excellent problem-solving and follow-up skills are essential for this position

o Excellent oral and written communication skills

o Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

o Excellent management and interpersonal skills