Investment Compliance Analyst

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