Compliance Analyst – IA Administration
Job in
Goodyear, Maricopa County, Arizona, 85338, USA
Listed on 2026-08-26
Listing for:
Jobtailor
Full Time
position Listed on 2026-08-26
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Wealth Management, Financial Advisor / Consultant
Job Description & How to Apply Below
- Respond to incoming emails and phone calls from financial advisors, advisor office personnel, and internal departments regarding investment advisory compliance matters
- Provide guidance and support on routine compliance questions, policies, procedures, and administrative processes
- Assist with the review and maintenance of Form ADV Part 2B Brochure Supplements
- Support the onboarding and maintenance of Investment Advisor Representatives (IARs)
- Coordinate with Compliance Operations, Supervision, Legal, and other internal departments to resolve advisor inquiries and support business initiatives
- Monitor assigned workflows and ensure tasks are completed accurately and within established service standards
- Review and update desktop procedures when necessary
- Perform all other duties as assigned
- Bachelor’s Degree Preferred; H.S. Diploma or GED certificate + Significant Practical Experience will be considered
- Minimum of two years of relevant work experience with a broker/dealer, registered investment adviser, regulatory agency, or similar financial institution
- Excellent verbal and written communication skills
- Must be proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
- Strong abilities in analytical thinking, problem solving, research, and time management
- Prior Customer Service experience preferred
- FINRA Series 7, 24, 66 or 63/65 a plus
- Prior experience with the Investment Advisers Act of 1940, Investment Company Act of 1940 and Securities Act of 1933 preferred
Demonstrates expertise in investment advisory compliance, including knowledge of relevant regulations and the ability to provide guidance on compliance matters. Proficient in communication and analytical skills to effectively support financial advisors and internal departments.
Highest-signal resume keywords- Investment Advisers Act of 1940
- Securities Act of 1933
- FINRA Series 7
- MS Office Proficiency
- Customer Service Experience
- Compliance Review
- Form ADV Part 2B Maintenance
- Analytical Thinking
- Problem Solving
- Research Skills
- Time Management
- Verbal Communication
- Written Communication
- FINRA Series 24
- FINRA Series 66
- FINRA Series 63
- FINRA Series 65
- Broker/Dealer
- Registered Investment Adviser
- Regulatory Agency
- Financial Institution
- Compliance Operations
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