Job description

Job Title: Compliance Analyst Job Category: Analyst

Department/Group: Compliance Job Code/ Req#:

Location: Travel Required: Some

Level/Salary Range: $65,000 - $75,000 Position Type: Full-time

HR Contact: Chas Bell Date Posted: 3/1/2023

Will Train Applicant(s): Will Train Applicant(s)

EMAIL: MAIL: Alina Santiago: asantiago@continuumadvisory.com

Continuum Advisory, LLC
873 E. State Street
Eagle, ID 83616

Job Description

ROLE AND RESPONSIBILITIES

• Protects assets by tracking applicable laws and regulations that affect financial reporting and anticipating emerging compliance trends, including cybersecurity.
• Establishes compliance standards and designs improvements to internal control structures.
• Minimizes legal risks by understanding current and proposed legislation, enforcing regulations, recommending new procedures, and complying with legal requirements.
• Works alongside other senior managers to develop corporate governance guidelines.
• Designs and develops compliance financial strategies by estimating, forecasting, and anticipating requirements, trends, and variances.
• Aligns monetary resources, develops action plans, measures and analyzes results, initiates corrective actions, and minimizes the impact of variances.
• Develops compliance organizational strategies by contributing information, analysis, and recommendations to strategic thinking and direction, establishing functional objectives in line with organizational objectives.
• Establishes compliance operational strategies by evaluating trends, establishing critical measurements, accumulating resources, resolving problems, and implementing change.
• Helps attract new advisors by maintaining state-of-the-art compliance programs.
• Enhances compliance and organization reputation by bringing compliance recognition to the company and providing leadership in the industry.
• Updates job knowledge by participating in educational opportunities, reading professional publications, and participating in professional organizations.
• Provides supervision of investment sales practices, training and communications related to compliance best practices, transaction monitoring, recordkeeping and reporting.
• Conducts review of advertising and marketing materials, and advisor communications to clients and the public.

QUALIFICATIONS AND EDUCATION REQUIREMENTS

Strong organizational and time management skills
Excellent written and oral communication skills with a high degree of emotional intelligence
Highly self-motivated, self-directed and able to work with a positive attitude
Evaluate problems and make decisions quickly based on risk
Team player and ability to collaborate effectively with others
Attention to detail
Understanding of regulatory frameworks

BA or BS in finance, business management, or similar field
3-5 years relevant work experience in compliance environment, preferably in financial compliance
FINRA Series 65 or 66 required

PREFERRED SKILLS

Proficiency with Microsoft Office products such as Word and Excel.
Familiarity with Schwab Advisor Center, TD Ameritrade VeoOne, Black Diamond, Laserfiche, Redtail a plus.

ADDITIONAL NOTES

Offices located in Eagle, ID; Phoenix, AZ; Annapolis, MD – employees outside of these areas may be remote.

Job Type: Full-time

Pay: $68,614.00 - $74,536.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Paid time off
• Vision insurance

Physical setting:

• Office

Schedule:

• 8 hour shift
• Monday to Friday

Supplemental pay types:

• Bonus pay

Experience:

• Regulatory RIA: 5 years (Preferred)

License/Certification:

• Series 65 or Series 66 (Preferred)

Work Location: Remote

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