Compliance Analyst – IA Oversight
Job in
Phoenix, Maricopa County, Arizona, 85003, USA
Listed on 2026-08-26
Listing for:
Jobtailor
Full Time
position Listed on 2026-08-26
Job specializations:
-
Finance & Banking
Regulatory Compliance Specialist, Financial Advisor / Consultant
Job Description & How to Apply Below
- Support the existing Investment Advisory compliance surveillance program
- Conduct risk assessments and testing of IA compliance programs and Financial Planning
- Perform monitoring and surveillance over business processes and controls
- Analyze current IA Compliance functions and suggest enhancements and standardization
- Identify and recommend changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
- Review, draft, and assist the RIA Compliance SVP with implementation of compliance procedures
- Support advisors by providing guidance on RIA policy and procedures questions
- Execute desktop procedures for RIA surveillance and other IAR-related activities
- 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
- Proficient with MS Office (Word, Excel, PowerPoint, and Outlook)
- Strong abilities in analytical thinking, problem solving, research, and time management
- 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
- Experience in monitoring, testing, and conducting risk assessments of investment advisory compliance activities
Demonstrates expertise in Investment Advisory compliance, including risk assessments, monitoring, and enhancing compliance programs. Proficient in regulatory requirements and providing guidance on compliance procedures to support advisors.
Highest-signal resume keywords- Investment Advisory Compliance
- Risk Assessment
- Regulatory Requirements
- FINRA Series 7, 24, 66 or 63/65
- Analytical Thinking
Hard Skills
- Risk Assessment
- Compliance Monitoring
- Compliance Testing
- Analytical Thinking
- Problem Solving
- Research
- Time Management
- Verbal Communication
- Written Communication
- FINRA Series 7
- FINRA Series 24
- FINRA Series 66
- FINRA Series 63
- FINRA Series 65
- Investment Advisers Act of 1940
- Investment Company Act of 1940
- Securities Act of 1933
- Broker/Dealer
- Registered Investment Adviser
- Regulatory Agency
- MS Office
- Word
- Excel
- Power Point
- Outlook
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