Investment Compliance Analyst

We are hiring for our Compliance team at [Stratos Wealth Partners](https://himalayas.app/companies/stratos-wealth-partners) where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors. We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program. We are a growing department that offers room to develop and advance skills. ### Essential Duties and Responsibilities: * Provide support to the overall Compliance Program * Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies. * Work with Compliance Directors to support new compliance initiatives. * Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested. * Utilize Compliance Software to manage components of the Compliance Program. * Work with the Directors to properly develop and document updated policies and procedures as new laws, rules and best practices develop. * Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions. * **Additional Responsibilities** o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members. o Perform additional projects and tasks in support of the Stratos Compliance program as assigned. ### Requirements ### Skills / Key Competencies Required: ### · Bachelor’s degree ### · FINRA SIE, Series 7, 24 and 65/66 * 3-5 years’ experience with an investment advisory firm * Ability to communicate positively and effectively compliance requirements to investment advisory representatives ### · Minimal travel required * Attention to Detail / Data Organization ### · Proficient with technology * Effective communication skills, written and verbal * Ability to work in a fast-paced, changing environment * Collaborative mentality; strong team orientation Originally posted on [Himalayas](https://himalayas.app)