COMPLY is hiring a
Compliance Analyst

Summary

Join COMPLY., a leading provider of compliance solutions, as a Compliance Analyst! Assist financial services firm customers with regulatory obligations, work with proprietary software, and collaborate with internal teams. This role offers comprehensive benefits, unlimited PTO, paid bonding leave, remote work flexibility, and a competitive salary.

Requirements

• Skilled in problem-solving and analytical thinking
• Ability to multitask in performing complex responsibilities across multiple projects
• Excellent interpersonal skills, including the ability to manage relationships with stakeholders at all levels
• Proficient in Microsoft Office Suite (e.g., Excel, Word, Outlook) and ideally Salesforce

Responsibilities

• Assist investment advisers and other financial services firm customers with regulatory obligations
• File annual updating amendments and other-than-annual amendments for Form ADV
• Process applications for new representatives of investment adviser and broker-dealer firms, including Form U4
• Coordinate with state and SEC regulators to secure registration for customer firms
• Submit various SEC EDGAR filings, such as Form 13F, Form 13H, and Form ID
• Handle Form D and blue sky filings for private funds
• Complete Form PF for hedge fund, private equity, and venture capital advisers
• Review disciplinary matters affecting customers for proper DRP disclosure
• Coordinate with COMPLY’s internal compliance experts, client services representatives, and other departments
• Attend team meetings and provide regular reporting to supervisor
• Work with COMPLY’s proprietary software, including MyRIACompliance and ComplianceGuardian
• Support remote team by clarifying and helping resolve complicated customer matters
• Assist your Regulatory Filings team with various other tasks as assigned

Preferred Qualifications

Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus

Benefits

• Comprehensive benefits
• Unlimited PTO
• Paid bonding leave
• 100% remote work flexibility with a WFH stipend