Compliance Analyst

If you are a go-getter who is strong at using persuasive language, asking in-depth questions, and getting our prospects engaged, and if you want to be part of a driven financial organization with great initiatives, we want to hear from you!

Johnson Brunetti is a leading retirement and investment firm with offices in Connecticut, Massachusetts, and Georgia. This position is based in our Wethersfield CT office.

We are looking for a driven candidate who can grow a sales pipeline by coordinating multiple schedules and filling the calendars of our financial advisors in multiple offices.

The Compliance Analyst provides assistance and oversight for the Firm’s Investment Advisory Compliance function. This includes assisting the Chief Compliance Officer with regulatory filings and registrations, administering the Code of Ethics, books and records maintenance, assisting in the development and implementation of policies and procedures to ensure compliance with The Investment Advisor’s Act of 1940 (IAA) and monitoring and assessing Compliance policies and procedures through audits, observation and forensic testing to ensure continued compliance with the IAA, including 206(4)-7.

Work in conjunction with the Chief Compliance Officer to manage the day-to-day requirements of the Compliance team’s responsibilities including :

• Review Marketing / Advertising materials, including printed media, website, social media, blogs, radio, and television including performing forensic testing of marketing material to ensure compliance with the SEC’s New Marketing Rule , Rule 206-(4)-1;
• Assist CCO in managing the Code of Ethics including providing direction to employees for
• to the COE, including reviewing Personal Securities Transactions, performing testing, administering the questionnaires and attestations, and providing direction to Supervised Persons seeking to adhere to the code;
• Interact with Supervised Persons to provide direction for adherance to the Cybersecurity policy and
• Identity Theft Prevention program including performing related audits and training;
• Conduct regular due diligence, and receive regular updates, of the IAR’s service providers, third party money managers and sub-advisors including ensuring compliance with our Information Security and Privacy policies;
• Manage the email monitoring and archiving vendor relationship and be responsible for the archiving
• of electronic correspondence and social media platforms and the periodic review of e-mails and social media for adherence to applicable securities laws;
• Perform IAR registrations and updates, U4 / U5 updates, Section 13 filings, state notice filing
• requirements, and state insurance licensing requirements;
• Review and submit annual updates and amendments to the RIA’s Form ADV 1A, 2A and CRS;
• Document and analyzes verbal and written complaints by reviewing details of client interactions and maintaining Complaint spreadsheet and associated books and records;
• Perform on-site audits of remote offices, including adherence to the record retention, privacy, and
• marketing policies;
• Perform regular audits and testing of the RIA’s policies and procedures including, fee billing, disclosures, DOL PTE requirements, and correspondence;
• Bachelor’s Degree in Business, Economics or Finance
• 3-5 years of RIA Compliance experience, relevant experience in advertising review compliance or closely related / relevant experience required; and
• Experience in responding to SEC and State Regulatory inquiries is a Plus
• Strong analytical and critical thinking skills
• Strong working knowledge of the Investment Advisor’s Act of 1940
• Understanding of the RIA structure and business acumen
• Excellent verbal and written communication skills
• Excellent relationship building skills, with a strong desire to work collaboratively with a variety of internal and external parties.
• Experience in project implementations required; and
• Ability to work independently with minimal supervision;

We're an equal opportunity employer . All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status.

If you're a California resident, please read the California Consumer Privacy Act prior to applying.

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PandoLogic. Category : Marketing & Biz Dev, Keywords : Regulatory Compliance Analyst, Location : Wethersfield, CT-06129