Compliance Analyst

As a Compliance Analyst, you will ensure Orion complies with all legal, regulatory, and internal requirements while supporting the firm’s Investment Adviser and Broker‑Dealer compliance programs. The role performs core operational duties and conducts structured testing to evaluate the effectiveness of key controls. The analyst partners with teams across the organization — including Sales, Marketing, Operations, IT, Global Workforce, and external vendors — to maintain compliance readiness. They also contribute to the continued evolution of Orion’s compliance program as the organization grows. Core duties align with market expectations for compliance operations (policy maintenance, monitoring, documentation, regulatory filings) and compliance testing (designing and executing test plans, documenting findings, and evaluating controls). As we continue to evolve and live our Orion values, we are looking for someone to grow with us.  

For Internal and External Candidates:
Candidates must work in-office at one of the following locations for at least 3 days per week: Omaha, NE.

• Analyze, review, and approve marketing materials and client presentations to ensure compliance with applicable laws and regulations

• Monitor Orion’s social media usage for compliance with regulatory requirements

• Conduct daily, weekly, monthly, quarterly, and annual compliance operations tasks to ensure Orion meets its regulatory obligations

• Maintain and update compliance program documentation, policies, procedures, and evidence repositories

• Manage regulatory calendars, monitoring workflows, and compliance dashboards

• Oversee filing, updating, and maintaining investment adviser and broker dealer securities registrations and licensing

• Oversee Code of Ethics compliance including trade preclearance, post trade reviews, gifts and entertainment, outside business activities, and private placements

• Create and maintain a library of interpretations, best practices, and disclosures related to marketing compliance review

• Identify opportunities to utilize the Global Workforce for operational tasks; train and support them as needed

• Conduct daily, weekly, monthly, quarterly, and annual compliance testing to assess and monitor key business risks and controls

• Design, execute, and document compliance test plans, sampling methodologies, and control evaluations

• Manage documentation of testing processes and results; analyze exceptions to enhance controls

• Drive the ongoing evolution of compliance testing and identify enhancements for monitoring and testing activities

• Identify opportunities to leverage the Global Workforce for testing and provide training/support for assigned processes

• Prepare audit ready test documentation, including findings, root cause analysis, and remediation validation

• Produce periodic reports summarizing testing results, risks, trends, and recommendations for leadership

• Respond to inquiries from internal and external parties related to Orion’s compliance program

• Provide guidance and training to Sales, Marketing, Operations, Product, IT, and external vendors

• Coordinate compliance governance activities, issue tracking, and remediation documentation

• Assist the CCO in updating the compliance manual and department policies to reflect evolving regulatory requirements

• Assist the CCO in gathering information and documentation for regulatory exams, inquiries, and audits

• Perform other duties as assigned

We're looking for talent who:  

• Has specific and working knowledge of the Investment Advisers Act of 1940, mutual funds, and general securities

• Has working knowledge of licensing and registration requirements for investment adviser and broker dealer entities

• Has experience with corporate retirement plan regulations (401k, 403b, 457, etc.) a plus, not required

• Has strong understanding of SEC, FINRA, and state regulatory frameworks

• Manages compliance policies, procedures, workflows, and regulatory calendars

• Has strong experience with Code of Ethics oversight and marketing/advertising compliance standards

• Maintains documentation, evidence libraries, SOPs, interpretations, and disclosures

• Has proficiency in test plan design, sample selection, testing execution, exception analysis, remediation validation, and control evaluation

• Has familiarity with compliance risk assessment methodologies and assurance frameworks

• Drives iterative improvements in testing and monitoring activities

• Has advanced Excel proficiency (pivot tables, advanced formulas), data sampling, dashboarding, and trend analysis

• Has strong written and verbal communication skills; ability to translate complex regulations into practical guidance

• Owns and manages stakeholder relationships at all levels of the organization

• Challenges control owners diplomatically and coordinates with internal audit

• Has attention to detail, time management, analytical rigor, judgment, confidentiality, and regulatory curiosity skills  

• Has a minimum of 3–5 years of experience in compliance, risk, audit, regulatory operations, or financial services compliance roles