Compliance Data Analyst

Focus Partners Wealth is seeking a Compliance Data Analyst. The Compliance Data Analyst, in coordination with the Compliance Department, is responsible for collecting, analyzing, and testing data in support of the firm’s Compliance Program. This role performs transaction-level, periodic, and forensic testing across financial, trading, and operational data to identify potential compliance issues, emerging regulatory risks, and control gaps. The Compliance Data Analyst supports internal reviews and internal investigations by conducting targeted data analysis, documenting findings, and assisting with issue escalation and remediation efforts, including the preparation of data and analyses for regulatory examinations and inquiries.

The role also supports the maintenance and enhancement of compliance reporting systems and collaborates closely with internal stakeholders across the firm to ensure adherence to applicable laws, regulations, and internal policies and procedures. In addition, the Compliance Data Analyst serves as a key resource on special projects, including the development of compliance tools and reporting solutions designed to enhance regulatory oversight, examination readiness, reporting accuracy, and regulatory filings.

Focus provides a hybrid work model: 3 days in office per week with 2 days remote, or as assigned by the team leader.

• Support the ongoing implementation, administration, and enhancement of the firm’s Compliance Program, including policies, procedures, the Code of Ethics, and related compliance manuals and documentation.
• Collect, aggregate, analyze, and test financial, trading, and operational data using transaction-level, periodic, and forensic testing methodologies to identify potential compliance issues, regulatory risks, control gaps, and indicators of non‑compliance.
• Prepare detailed reports and documentation for management.
• Support internal reviews and investigations by performing targeted data analysis, preparing investigative documentation, and assisting with issue escalation, remediation tracking, and resolution.
• Assist in identifying and managing conflicts of interest in accordance with regulatory requirements and firm policies.
• Assist in the design, implementation, and ongoing testing of internal compliance controls to assess effectiveness and support continuous improvement.
• Support regulatory reporting and examination readiness by preparing data, analyses, and documentation in response to regulatory inquiries and examinations.
• Maintain and enhance compliance reporting systems and tools and act as a subject‑matter resource for compliance technologies and platforms (e.g., Global Relay, ACA Compliance Alpha, Basis Code, Orion, Salesforce).
• Collaborate with business, operations, technology, and legal teams to support compliance initiatives, ensure adherence to applicable laws and regulations, and promote a culture of compliance across the firm.
• Serve as a liaison or point of contact for assigned compliance oversight areas and special projects as directed by Compliance management.

• 1+ year(s) of compliance, regulatory, or audit experience in the financial industry.
• Bachelor’s degree in business or a related field.
• Proficiency in Microsoft Excel and Word.
• Experience using a CRM system such as Salesforce.
• Strong problem‑solving and decision‑making skills.
• Ability to analyze and summarize data and apply critical thinking to derive conclusions.
• Intellectual curiosity, proactive approach to problem‑solving.
• Extensive knowledge of the Investment Advisers Act of 1940, as amended.
• Excellent written and verbal communication skills with the ability to interact effectively with peers and all levels of management.
• Attention to detail, organization, and ability to perform multiple tasks simultaneously.
• Willingness and ability to learn and analyze securities laws.
• Integrity and trustworthiness, with the capability to handle sensitive or confidential information and maintain confidentiality.
• Ability to work independently and manage multiple priorities.
• Demonstrated business judgment by developing and implementing effective compliance solutions aligned with…