Compliance Analyst

The Role:

DC Advisory seeks an analyst to work alongside the Firm’s legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory workstreams and the chance to be part of larger strategic discussions around the Firm’s compliance processes on a forward-looking basis. The role will play an important part in helping prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies and is a key part of the Firm’s focus on promoting a high standard of ethics, professionalism and accountability internally. Some of the key workstreams would include:

• Providing guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, Gifts/Entertainment, etc.
• Preparing and submitting regulatory filings with FINRA (such as Form U4s and U5s) and assisting with regulatory examinations, inquiries, investigations and projects in tandem with the legal team, as necessary.
• Reviewing and approving employee compliance-related requests in the internal compliance system (e.g. gifts/entertainment, political contributions, and private investments).

• Managing key elements of the personal trading program, including account disclosures, pre-approval requests and reconciliations.

• Supporting employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
• Supporting compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.

Position Requirements:
Requirements:

• Education: Bachelor’s degree is required
• Experience: At least two (2) years of experience working in a compliance position and a strong interest in acting in a compliance role within the highly regulated financial services industry
• Sound judgment, discretion and a strong commitment to confidentiality and professionalism

Preferred:

• Exposure to regulatory compliance or risk management within the financial services sector
• Experience with the FINRA regulatory framework

Qualities we seek include:

• Personal integrity, initiative and leadership qualities
• Strong multi-tasking and time management skills
• An unwavering commitment to excellence and a high degree of maturity
• A high level of initiative, motivation, attention to detail, positive attitude, and the ability to excel in a fast-paced, entrepreneurial, high performance work environment
• An outstanding academic record
• The ability to work as part of a team in an environment that demands excellence, time and energy
• Strong quantitative, verbal and written communication skills; familiarity with the financial services industry a plus
• Highly proficient with Microsoft Office suite

Compensation & Benefits:

• Salary Range: $80,000 - $100,000 + annual discretionary bonus
• Medical / Dental / Vision Insurance
• Long Term Disability, Short Term Disability, Life Insurance
• Pet Insurance
• Health Savings Account
• Retirement Plans (401K)
• Pre-Tax Commuter Benefits

Working Arrangement:

• Please note this position will operate in a hybrid capacity with four days on-site in our office (Monday - Thursday) with the option to work from home on Fridays.