投资合规分析师
Investment Compliance Analyst
我们正在为Stratos Wealth Partners的合规团队招聘，我们为注册的销售代表/顾问提供经纪交易商和RIA服务的平台。我们正在寻找一位经验丰富的合规分析师来支持Stratos RIA合规计划。我们是一个不断壮大的部门，提供发展和提升技能的空间。
主要职责和任务：
- 支持整体合规计划
- 与合规团队和其他成员合作，加强政策，包括WISP、隐私政策审查、业务连续性和可接受使用政策。
- 与合规总监合作，支持新的合规举措。
- 为合规测试计划提供支持，解决发现的问题，并根据要求开展补救项目。
- 使用合规软件管理合规计划的各个部分。
- 与总监合作，随着新法律、规则和最佳实践的发展，正确开发和记录更新的政策和程序。
- 持续改进Stratos合规计划，提出改进建议，并与团队成员和管理层协作实施解决方案。
- 其他职责
o 回应来自投资顾问代表和其他Stratos部门团队成员的合规咨询。
o 完成分配的支持Stratos合规计划的其他项目和任务。
要求
所需技能/核心能力：
· 本科学位
· FINRA SIE、7号、24号和65/66号证书
- 在投资顾问公司有3-5年经验
- 能够积极有效地向投资顾问代表传达合规要求
- 需要少量出差
- 注重细节/数据整理
- 熟练使用技术
- 有效的沟通技巧，书面和口头表达
- 能在快节奏、变化的环境中工作
- 合作精神；强烈的团队意识
最初发布于Himalayas
查看英文原文
We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills.
Essential Duties and Responsibilities:
- Provide support to the overall Compliance Program
- Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies.
- Work with Compliance Directors to support new compliance initiatives.
- Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested.
- Utilize Compliance Software to manage components of the Compliance Program.
- Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop.
- Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.
- Additional Responsibilities
o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members.
o Perform additional projects and tasks in support of the Stratos Compliance program as assigned.
Requirements
Skills / Key Competencies Required:
· Bachelor’s degree
· FINRA SIE, Series 7, 24 and 65/66
- 3-5 years’ experience with an investment advisory firm
- Ability to communicate positively and effectively compliance requirements to investment advisory representatives
- Minimal travel required
- Attention to Detail / Data Organization
- Proficient with technology
- Effective communication skills, written and verbal
- Ability to work in a fast-paced, changing environment
- Collaborative mentality; strong team orientation
Originally posted on Himalayas