Lead Compliance Analyst - Broker Dealer & Registered Investment Advisor; Hybrid

Role Summary

Helps to mitigate legal exposure and risk to the organization by enforcing company policies, procedures and regulatory requirements. Applies broad knowledge of concepts and principles to perform complex assignments independently with latitude for un‑reviewed action or decisions.

• Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
• Contribute to the development of new and/or enhanced compliance programs and enterprise‑wide initiatives.
• Research, analyze and interpret current, new, and proposed regulatory requirements (e.g. statutes, regulations, bulletins) to determine impact to organization.
• Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
• Analyze processes, services and products; provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
• Compile information for completion of reporting, including reports for management and state/federal regulators.
• With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
• Manage, oversee and analyze reports from third‑parties (e.g. sub advisors, audit firms).
• Provide guidance and support to business partners (e.g. Sales and Marketing) in creation of mandated product training.
• Update and maintain complete and accurate policies, procedures, compliance logs or files.
• Assist team members with research and assigned tasks; provide training to supported teams.
• May assist management with highly complex projects and coaching/development of staff.

• Bachelor’s degree in business, marketing, pre‑law or other relevant field, or equivalent education and experience.
• Five years of regulatory, securities, or insurance compliance experience.
• Strong written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

• Experience with financial services clients and securities regulators.
• Expert knowledge of securities laws, regulations, rules, and applicable FINRA licensing (Series7, 24 and
  65/66 preferred, or Series6 &26 acceptable).

Hybrid position requiring three days (Tuesday-Thursday) in office per week in one of our hub locations (Cedar Rapids, Denver, Philadelphia). Relocation assistance will not be provided for this position.

Salary range: $92,000 – $100,000 annually. May be above or below this range, subject to qualifications, experience, geography, work location, and operational needs. Eligible for annual bonus based on the Company Bonus Plan/Individual Performance.

• Competitive pay and annual bonus.
• 401(k) match and pension plan.
• Employee Stock Purchase Plan.
• Tuition reimbursement.
• Disability, medical, dental, and vision insurance.
• Paid time off (160 hours annually for first year) and 10 paid holidays.
• Wellness program including coaching and reward dollars.
• Parental leave (15 days paid).
• Adoption assistance, employee assistance program, backup care program, and PTO for volunteer hours.
• Employee matching gifts program, employee resource groups, inclusion and diversity programs, employee recognition program, and referral bonus program.