Compliance Analyst, Fully Remote
Our client is an asset management firm with an affiliated broker-dealer, looking to add a compliance analyst to their team. They operate on a fully remote basis, so this role can sit anywhere in the US, but employees must be willing to work east coast hours. This is a high-visibility role reporting into the CCO on a lean team, so this position involves a wide variety of tasks.
Responsibilities include the following:
- Keeping abreast of new regulations
- Handle policies & procedures
- Marketing review
- Regulatory filings (ADV, 13F, etc.)
- Updating registration statements
- Draft 206(4)-7 annual report (amongst others)
- Oversee compliance reviews
- Vendor due diligence
- Maintenance of compliance management software and tools
- Administration of code of ethics and monitoring obligations
Requirements
- 3+ years of experience at RIA and/or broker-dealer
- East coast business hours
*Note* a series 7 license (or additional, 24, etc.) is a huge plus but not required.
The SR Group (US), Inc. is acting as an Employment Agency in relation to this vacancy.
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