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

Job Overview

Helps to mitigate legal exposure and risk to the organization by enforcing company policies, procedures, and regulatory requirements.

• Review and analyze current policies and procedures; identify, recommend, and implement new or enhanced practices.
• Contribute to the development of new 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 on the 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 the 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.

• Bachelor’s degree in business, marketing, pre‑law, or other relevant field, or equivalent education and experience.
• Two years of regulatory, securities, or insurance compliance experience.
• Experience in areas such as contract development, claims, underwriting, legal research, fraud or anti‑money laundering investigations, and/or communications.
• Proficiency using MS Office tools.
• Strong written and verbal communication skills, analytical and research skills.

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

This is a hybrid position requiring three days (Tuesday‑Thursday) in office per week in one of our hub locations (Cedar Rapids, Denver, or Philadelphia). Relocation assistance will not be provided for this position.

The salary for this position generally ranges between $65,000 and $75,000 annually. Compensation may vary above and below the stated range, as permitted by applicable law. This position may also be eligible for an annual bonus based on the Company Bonus Plan and individual performance.

Applicants must possess legal authorization to work for our company in the U.S. without the need for immigration sponsorship or otherwise serving as an employer of record for immigration employment purposes. At this time, this role is not eligible for immigration‑related employment authorization sponsorship.