Compliance Analyst (CT, Stamford)

July 19, 2024

Job Summary

We are seeking a knowledgeable and proactive Compliance Analyst with 2-4 years of experience at an investment advisor and specific experience with the Investment Advisers Act. The ideal candidate will assist in implementing and overseeing compliance programs to ensure adherence to SEC regulations and NewEdge Wealth’s policies and procedures. The Compliance Analyst will report directly to the Chief Compliance Officer.

 

Responsibilities

Compliance Program Support: Assist in maintaining and implementing compliance programs as required by Rule 206(4)-7 of the Investment Advisers Act of 1940.
Regulatory Reporting: Ensure timely and accurate regulatory reporting, including Form ADV.
Policy Implementation: Help maintain supervisory policies and procedures designed to prevent violations of federal securities laws, including personal trading, insider trading, gifts and entertainment, political contributions, and electronic communications.
Marketing and Advertising Review: Support the review of promotional and marketing materials, including RFPs and pitchbooks, to ensure compliance with SEC regulations and NewEdge Wealth’s marketing rules.
Compliance Training: Assist in developing and delivering compliance training programs to ensure all employees are aware of regulatory requirements and internal policies.
Documentation and Reporting: Assist in drafting compliance reports and remediation plans, providing testing data, observations, and identifying significant findings.
Internal Audits and Testing: Participate in internal audits and compliance testing to assess adherence to policies and regulatory requirements.
Cross-functional Support: Provide general administrative support to the compliance team and interact cross-functionally with other departments.
Project Management: Lead projects and monitor timelines to ensure timely execution, especially concerning audits, document requests, and other special projects.

 

Skills & Qualifications

Bachelor’s degree required.
Series 7, 24, and 65 licenses are preferred but not required.
2-4 years of securities industry experience within organizations providing investment advisory services.
Excellent problem-solving and analytical abilities with high attention to detail.
Strong organizational skills and the ability to meet deadlines.
Effective communication skills, both oral and written, with the ability to interact with senior/executive management.
Proficiency with Microsoft Office Suite.
Ability to work independently and as part of a team in a fast-paced environment.
High ethical standards and a commitment to maintaining compliance.

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