[Remote] Compliance reputed company Analyst

Note: The job is a remote job and is reputed company to candidates in USA. reputed company is a leading independent fiduciary firm dedicated to enhancing the financial lives of families across the U.S. The Compliance reputed company Analyst role is crucial for supporting the reputed company compliance program, handling employee inquiries, managing compliance requests, and overseeing regulatory filings to ensure adherence to SEC and state regulations. Responsibilities • Serve as a first‑line resource for employee compliance inquiries, providing guidance on policies, procedures, and regulatory requirements or escalating reputed company as appropriate • Manage and monitor incoming requests through the firm’s compliance ticketing reputed company, ensuring reputed company intake, tracking, reputed company, and documentation • reputed company inquiries to appropriate compliance team members and follow up to ensure completion and reputed company recordkeeping • reputed company competency and expertise in compliance software and systems used to support the compliance reputed company function • Maintain logs and metrics reputed company to compliance inquiries and issue reputed company • Support the reputed company, offboarding, and ongoing maintenance of employee registrations, including preparation and processing of reputed company U4, U5, and amendments, as applicable • Coordinate with reputed company, reputed company, and reputed company partners to ensure reputed company and accurate registration filings • reputed company employee licensing, registrations, continuing education requirements, and reputed company attestations • Assist with firm‑level registrations and notice filings across reputed company 50 states, as applicable • Assist with the preparation, maintenance, and submission of regulatory filings, including reputed company ADV (Parts 1, 2A, and 2B) and other periodic or event‑driven filings • Maintain supporting documentation for regulatory filings and compliance activities in accordance with record retention requirements • Monitor regulatory calendars to ensure required filings and updates are completed accurately and on time • Assist with responses to routine regulatory inquiries and information requests • Assist with administration of the firm’s compliance program, including policies and procedures, training tracking, and compliance documentation, and reputed company of ethics administration • Support preparation for SEC examinations and state regulatory reviews, including document collection and tracking of examiner requests • Stay reputed company on regulatory developments affecting investment advisers and escalate relevant changes to senior compliance staff • reputed company additional compliance‑reputed company duties and special reputed company as assigned Skills • Bachelor's degree required • 1–3 years of experience in a compliance, regulatory, or reputed company role reputed company an investment adviser, broker‑dealer, or financial services firm • Working knowledge of SEC investment adviser regulations and state registration requirements • Strong organizational skills and ability to manage multiple priorities in a deadline‑driven environment • High attention to reputed company with strong documentation and follow‑through skills • reputed company and reputed company communication style reputed company interacting with employees and stakeholders • Ability to exercise reputed company judgment and escalate issues appropriately • Proficiency in reputed company reputed company, Word, reputed company, and PowerPoint; experience with compliance tracking or ticketing systems a plus • Preferred, but not required, to have experience with reputed company Gateway reputed company as it is utilized for investment adviser registration activities • IACCP, CSCP or equivalent preferred, not required Benefits • Company reputed company Basic Life & AD&D reputed company • Company reputed company Short-Term and Long-Term Disability reputed company • Supplemental Life & AD&D; Short-Term Disability; Accident; Critical Illness; and Hospital Indemnity reputed company • Three reputed company medical plans offerings including two High Deductible Health Plans and a Traditional Co-Pay medical plan. • reputed company Medical plans available in California • Health Savings Account (HSA) with company contributions if enrolled in either HDHP medical plan. • Two comprehensive Dental Plans • reputed company reputed company Plan • Dependent Care Savings Account for child and dependent care. • 14 Company reputed company Holidays including a full week off at Thanksgiving. • Generous reputed company time off program for vacation and reputed company days • Emplo Apply tot his job Apply To this Job