Compliance Analyst

Summary

Join COMPLY, a leading global provider of regulatory compliance software and solutions, as a Compliance Analyst! Reporting to the VP of Regulatory Affairs, you will assist financial services firm customers with various compliance and regulatory matters. Key responsibilities include assisting with regulatory obligations, filing amendments for Form ADV, processing applications for new representatives, coordinating with regulators, submitting SEC EDGAR filings, handling Form D and blue sky filings, completing Form PF, reviewing disciplinary matters, and coordinating with internal teams. The ideal candidate is detail-oriented, motivated, and passionate about delivering high-quality services. This role offers a competitive salary and a comprehensive benefits package.

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
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment
• Exceptional organizational and time management skills

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 medical, dental and vision insurance at little to no cost starting on day one
• 401k with a company match
• Supplemental benefits at a discounted rate including home, auto and pet insurance
• Unlimited PTO
• Professional Development reimbursements
• Remote opportunities available for most positions
• Time to get together in person for company happy hours, team offsites and more