Senior Compliance Analyst Partner Integration, Monitoring & Testing in United States at Jobgether

This position is listed on behalf of a partner company, who manages all applications and next steps. Our partner is looking for a Senior Compliance Analyst Partner Integration, Monitoring & Testing based in the United States.

Join a collaborative compliance team dedicated to maintaining strong regulatory standards during the integration of newly acquired advisory businesses. In this role, you will help strengthen compliance programs by conducting monitoring, testing, audits, and risk assessments while supporting seamless post-acquisition integration. You will work closely with cross-functional stakeholders to identify risks, recommend process improvements, and ensure adherence to regulatory requirements. This position offers the opportunity to make a meaningful impact in a dynamic, fast-paced environment where analytical thinking, attention to detail, and continuous improvement are highly valued. It is an excellent opportunity for compliance professionals seeking to expand their expertise within investment advisory regulations and enterprise compliance programs.

• Support compliance monitoring and testing activities for newly integrated businesses throughout the post-acquisition process.
• Participate in annual risk assessments and contribute to the enhancement of compliance surveillance programs and internal controls.
• Conduct compliance reviews, audits, and branch examinations to evaluate adherence to internal policies and applicable regulatory requirements.
• Analyze data to identify trends, emerging risks, and potential compliance concerns requiring remediation.
• Maintain thorough documentation, testing workpapers, and audit records in accordance with regulatory expectations.
• Track remediation plans, monitor corrective actions, and prepare regular compliance reports for leadership.
• Assist in developing and updating compliance policies, procedures, and control frameworks based on audit findings.
• Stay informed on evolving regulatory developments affecting investment advisers and support additional compliance initiatives as needed.

• Minimum of 3 years of compliance experience within an investment advisory or financial services environment.
• Strong understanding of the Investment Advisers Act of 1940, Securities Exchange Act of 1934, FINRA regulations, ERISA, and Department of Labor requirements.
• Demonstrated experience conducting compliance monitoring, testing, audits, or regulatory reviews.
• Excellent analytical, critical thinking, and problem-solving abilities with strong attention to detail.
• Outstanding written and verbal communication skills, with the ability to communicate complex regulatory concepts clearly.
• Strong organizational skills and the ability to manage multiple priorities in a deadline-driven environment.
• Proficiency with Microsoft Excel, Word, Outlook, and PowerPoint.
• Series 65 license is preferred but not required.
• Willingness to travel occasionally (approximately 15%) for branch examinations and compliance activities.

• Base salary ranging from $85,000 to $100,000 USD, with eligibility for performance-based incentive compensation.
• 100% remote work arrangement with a standard Monday–Friday schedule.
• Comprehensive medical, dental, and vision insurance options.
• Company-paid life insurance, short-term disability, and long-term disability coverage.
• Additional voluntary insurance options, including accident, critical illness, hospital indemnity, and supplemental life coverage.
• Health Savings Account (HSA) with employer contributions for eligible plans.
• 401(k) retirement plan with employer matching, including Traditional, Roth, and after-tax contribution options.
• Generous paid time off, paid holidays, including an extended Thanksgiving break.
• Paid parental leave, family leave benefits, and adoption assistance.
• Employee Assistance Program and concierge support services.
• Dependent care savings account and pet insurance.
• Access to discounted financial planning services.