Compliance Analyst

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. Responsibilities include assisting investment advisers with regulatory obligations, filing amendments for Form ADV, processing applications for new representatives, coordinating with state and SEC regulators, and submitting SEC EDGAR filings. The candidate will also handle Form D and blue sky filings, complete Form PF, review disciplinary matters, coordinate with internal compliance experts, and support the remote team by clarifying customer matters. Qualifications include problem-solving skills, the ability to multitask, excellent interpersonal skills, proficiency in Microsoft Office Suite and Salesforce, and experience with FINRA/IARD and the SEC’s EDGAR system.