Compliance Analyst

Who Are We:

We are COMPLY.  

For compliance people. 

COMPLY is the leading global provider of comprehensive regulatory compliance software and solutions for the financial services sector. Our OneCOMPLYTM platform provides an all-in-one approach to address firm and employee compliance requirements through a configurable and scalable software-as-a-service (SaaS) platform coupled with expert consulting services.

COMPLY serves thousands of financial services clients including Broker Dealers, Investment Banks, Private Funds, RIAs, and Wealth Managers who rely on COMPLY to power their compliance programs. 

To learn more about COMPLY, visit COMPLY.com

COMPLYis seeking a Compliance Analyst to join our growing team! Reporting into our VP of Regulatory Affairs, this person will be responsible for providing assistance on a variety of compliance and regulatory matters for financial services firm customers. Our ideal candidate is motivated, detail-oriented, and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.

• 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. 

• 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.
• Experience with FINRA/IARD, WebCRD, and SEC’s EDGAR system is a plus.
• Ability to work effectively and flexibly within a client service-oriented, collaborative environment.
• Exceptional organizational and time management skills.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, disability, sex, sexual orientation, gender identity, or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.

The company offers a wide range of perks including:

- 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

Applicants must be authorized to work for any employer in the United States. Currently, we are unable to sponsor or take over sponsorship of an employment Visa at this time.

COMPLY is aware of scammers posing as COMPLY employees and extending job offers via direct messaging, texts and social media platforms. These are fraudulent and should be treated as such. To learn more about this, please review our Statement of Fraudulent Job Offers.