Compliance Jobs

Senior Compliance Analyst, Investment Management, Greater Cleveland Area

By September 26, 2018 No Comments

Senior Compliance Analyst

Investment Management Company

Greater Cleveland Area – Relocation Assistance Available

We are representing a investment management company. This position will be based in Woodmere, Ohio.

Why Join Us:

  • Company is on track to double in revenue by 2020.
  • Great benefits package including: Generous PTO, Paid Holidays, Medical and 401k with excellent company match
  • Employee driven work environment – social events, philanthropy opportunities, tuition reimbursement, etc.
  • Projected employee headcount growth of 20% over the next year leaving room for career growth and progression.


  • Reports directly to the Chief Compliance Officer
  • Manage daily responsibilities and functions related to the Broker-Dealer and RIA compliance programs
  • Participate in internal and external audits as needed (annual financial audits, AML audits, etc.)
  • Will act as the main point of contact for Representatives and Advisors with compliance related issues
  • Handle individual licensing/registration (Registered Representative, NRF and IAR)
  • Assist with on-boarding process, including training individuals as necessary on broker/dealer policies and procedures as well as RIA compliance policies.
  • Review current laws and regulations relevant to broker/dealer and RIA activities and assist in developing compliance policies, procedures and processes as necessary.
  • Prepare regulatory filings and forms (Form U4s, Form U5s, DRP filings, etc.)
  • Perform marketing and advertising reviews


  • Education: Bachelor’s degree
  • 5+ years of relevant experience in a broker/dealer and RIA compliance environment
  • Minimum requirement: Series 7 or 62 and Series 63 FINRA licenses
  • Limited travel required as needed for Audits

Relocation Policy

  • Relocation assistance available.

Application Process:


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