Compliance Analyst

🔥 1 minute ago

🌪️ Kansas – Remote

🌪️ Kansas – Remote

💵 $60k - $70k / year

⏰ Full Time

🟢 Junior

🟡 Mid-level

🚔 Compliance

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OneDigital

WebsiteLinkedInAll Job Openings

1001 - 5000 employees

Founded 2000

💸 Finance

👥 HR Tech

Insurance • Finance • HR Tech

OneDigital is a company that specializes in providing insurance, financial services, and HR consulting solutions. By leveraging technology and innovation, OneDigital aims to transform complex and inefficient landscapes through business automation, APIs, product development, and AI. Their services include employee benefits consulting, property and casualty insurance, retirement plan administration, and wealth management. OneDigital is committed to diversity, equity, inclusion, and belonging within its corporate culture and offers a range of services aimed at helping businesses and individuals achieve their aspirations of health, success, and financial security.

📋 Description

• perform onboarding due diligence for Registered Investment Advisors • monitor compliance program efficiency and accuracy • perform ongoing monitoring and analysis of the firm's investment adviser representatives • assist with annual testing of compliance policies and procedures • prepare and submit license registrations to regulatory agencies • maintain ADV 2B documents • monitor reportable Outside Business Activities for potential conflicts of interest • assist with communication of continuing education requirements • conduct research of state and federal statutes

🎯 Requirements

• good understanding of regulatory requirements for Registered Investment Advisors • ability to interpret new rules and communicate guidelines clearly • self-motivated with excellent time and project management skills • strong communication skills (verbal/written) • high attention to detail and strong problem-solving skills • previous experience with FINRA regulatory filing system preferred • ability to adapt to a rapidly changing business and technology environment • undergraduate degree in business, finance, economics, accounting, or related field • 2+ years of experience in financial services; experience in investment advisor compliance considered a plus

🏖️ Benefits

• health, wellbeing, retirement, and other financial benefits • paid time off • overtime pay for non-exempt employees • robust learning and development programs • reimbursement of job-related expenses • employee perks and discounts