[Hiring] Investment Compliance Analyst @OneDigital

Role Description

The Investment Compliance Analyst is responsible for a broad range of activities that support the firm's compliance oversight obligations with respect to its investment activities for OneDigital Investment Advisors. This role focuses on investment compliance surveillance, testing, and reporting, with an emphasis on maintaining the integrity of the firm's investments compliance program and ensuring adherence to applicable regulatory requirements and internal policies and procedures. This position may be located in Overland Park, Kansas or remote.

Essential Duties and Responsibilities (includes but is not limited to):

• Under the direction of the Senior Director of Compliance, maintain the firm's investments surveillance and testing program ("Program"), including any technology systems that are a component of such Program.
• Monitor the efficiency and accuracy of the Program and, where appropriate, recommend enhancements or changes to the Program.
• Perform ongoing surveillance, testing, and analysis of the firm's trading activity in order to detect:
  • Potential violations of the firm's compliance policies and procedures and/or restrictions, limitations, or policies imposed by clients and/or the firm's Investment Committee.
  • Previously unidentified material risks to the firm.
• Based on findings, work with appropriate stakeholders to correct confirmed violations and make recommendations to the Investment Committee or Chief Compliance Officer on changes to investment policy or the firm's compliance policies and procedures, respectively.
• Prepare reporting for the Chief Compliance Officer, the Investment Committee, and/or the firm's Senior Leadership Team regarding the status and effectiveness of the Program and the firm's compliance with its policies and procedures regarding investments.
• Assist with required annual testing of the firm's compliance policies and procedures relating to investments, as requested.
• Develop and maintain good working relationships with internal and external verticals and partners (investment management, trading, operations, IT, technology, etc.) and serve as a compliance liaison with members of the firm's Investment Committee.
• Assist in responding to regulatory inquiries/examinations.
• Stay current on relevant regulations, industry best practices, and testing methodologies.
• Perform other assignments and/or duties as may be assigned.

Qualifications

• Working knowledge of various security types, including but not limited to equities, bonds, options, mutual funds, exchange traded funds, structured notes, variable annuities, and private placements.
• Working knowledge of prohibited or restricted activities relating to investments under both the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA).
• Strong understanding of fiduciary governance principles.
• Ability to interpret the impact of new laws on the firm's investment strategies and/or use of investments.
• Self-motivated with excellent time and project management skills.
• Responsive to managerial direction; exhibits objectivity and openness to new ideas; welcomes feedback.
• Strong verbal and written communication skills.
• High attention to detail, strong problem-solving skills, and a high level of integrity.
• Ability to handle business-sensitive and confidential information in a discreet manner.
• High level of proficiency with the Microsoft Office Suite (Word, Excel, Access, etc.) including proficiency with Power BI.
• Proficiency in SQL and experience using Snowflake for data extraction, transformation, and analysis.
• Ability to manipulate raw data in order to effectively analyze investments and trading activity.
• Ability to adapt to a rapidly changing business and technology environment.
• Continual learner mentality.

Requirements

• Undergraduate degree in business, finance, economics, accounting, business information systems or a related field.
• 5 or more years of experience with a financial services firm in the Investments, Trading, Operations, Technology, or Compliance departments, or as a practicing Investment Advisor Representative, or with the SEC or FINRA as a compliance examiner.
• Previous experience with investment data analysis and reporting, compliance software systems, and/or portfolio compliance systems preferred.

Benefits

• Base pay range of $90,000 to $100,000 per year, dependent upon skills, education, qualifications, professional experience, and location.
• Eligibility for variable compensation, commission, and/or annual bonus based on individual and company performance.
• Health, wellbeing, retirement, and other financial benefits.
• Paid time off and overtime pay for non-exempt employees.
• Robust learning and development programs.
• Reimbursement of job-related expenses per company policy.
• Employee perks and discounts.