Compliance Analyst - Remote

Summary: 

The Compliance Analyst is responsible for the performance of a broad range of activities necessary to effectively fulfill the firm’s compliance oversight obligations with respect to its investment adviser representatives’ (IAR) registration. This role focuses on registration and licensing duties, as well as compliance testing and reporting. This position may be remote or located in Overland Park, Kansas. 

Essential Duties and Responsibilities (includes but is not limited to): 

• Under the direction of the Senior Director of Compliance, perform onboarding due diligence which includes creating and maintaining the Registered Investment Advisors’ (RIA) registered persons filings and required disclosure documents. 

• Monitor the efficiency and accuracy of the compliance program as it relates to the due diligence of onboarding and departing registered associates, and, where appropriate, recommend enhancements or changes to the process. 

• Perform ongoing monitoring and analysis of the firm’s IARs in order to detect potential violations of the firm’s compliance policies and procedures and/or previously unidentified material risks to the firm. Based on such findings, work with appropriate stakeholders to correct any confirmed findings. 

• Assist with the required annual testing of the firm’s compliance policies and procedures relating to licensing and registration, as requested. 

• Prepare and submit required license registrations to regulatory agencies. This includes preparing and maintaining the accuracy of U4 and U5 filings on the FINRA site. 

• Create and maintain accurate ADV 2B documents for the RIA registered advisers. 

• Monitor and analyze reportable IAR Outside Business Activities (OBA) and supervise for potential conflicts of interest. 

• Assist with communication and completion guidance of continuing education requirements as it pertains to maintaining IAR registration. 

• Conduct research of state and federal statutes and regulations in support of the registered investment adviser initiatives. 

• Develop and maintain good working relationships with internal and external verticals and partners (branch offices, HR, operations, technology, etc.) and serve as a compliance liaison with advisers seeking and maintaining registration. 

• Conduct due diligence on RIA employees onboarding from a compliance registration perspective. Additionally, conduct due diligence on M&A Firm onboarding from a compliance registration perspective. 

• Assist in responding to regulatory inquiries/examinations. 

• Stay current on relevant regulations, industry best practices, and testing methodologies. 

• Perform other assignments and/or duties as may be assigned. 

Qualifications, Skills and Requirements: 

• Have a good understanding of the various regulatory requirements needed by a Registered Investment Advisor and the Investment Adviser Representatives that are registered with said RIA. 

• Be able to interpret the impact of new rules on the firm’s IARs and clearly convey those guidelines to the associates. 

• Be self-motivated with excellent time and project management skills, including the ability to adjust priorities in response to unanticipated events and to balance team/individual responsibilities. Perform work accurately, completely and take responsibility for actions. 

• Responds well to managerial direction, exhibits objectivity/openness to new ideas, and welcomes feedback. 

• Have strong communication skills (verbal/written), including the ability to clearly and concisely articulate and present ideas, opinions, and information. 

• Have a high attention to detail, strong problem-solving skills, and a high level of integrity. 

• Must have the ability to handle business-sensitive/confidential information in a discrete manner. 

• Strong computer skills; have a high level of proficiency with the Microsoft Office Suite (Word/Excel/Access/etc.). Previous experience with the FINRA regulatory filing system preferred. 

• Be able to adapt to a rapidly changing business and technology environment. 

• Have a continual learner mentality. 

• Good general understanding of the financial markets. 

• Demonstrate initiative; ability to identify compliance risks and steps to prevent and/or mitigate risks. 

Education, Training and Experience: 

• Undergraduate degree in business, finance, economics, accounting, or other related field. 

• 2+ years of experience in financial services; experience in investment advisor compliance or operations (investment advisor compliance department, the SEC or a compliance consulting firm) considered a plus.