Regulatory Compliance Analyst

Growing SEC Registered Investment Advisor is seeking a Compliance Analyst to join our their team. This role will ensure full adherence to regulatory standards. With strong knowledge of SEC regulations, Investment Advisors Act of 1940 and some knowledge of Alternative InvestmentsKey ResponsibilitiesDevelop and implement the firm’s SEC compliance programReview and enhance compliance policies, procedures, and control structuresMaintain compliance calendar, tasks, and checklistsReview marketing, advertising, and client-facing materials for regulatory accuracyOversee regulatory filings and examinationsManage AML/KYC checks and third-party administrator oversightLiaise with outside counsel on vendor agreements and legal documentationEnsure proper upkeep of all legal documentsQualificationsBachelor’s degree required3+ years of SEC/RIA compliance experience, including 3+ years managing compliance teamsIn-depth knowledge of the Investment Advisers Act of 1940 and SEC regulationsStrong knowledge of SEC, CFTC/NFA, and FINRA rules and regulationsBackground in hedge funds, private funds, or asset managementProven ability to design, implement, and monitor compliance programsStrong poject management skills and ability to work in fast-paced environmentsAbility to manage multiple priorities and collaborate effectively across teams