Senior Compliance Analyst

Position Summary

Focus Partners Wealth is seeking a Senior Compliance Analyst. The Senior Compliance Analyst will, in coordination with the rest of the Compliance Department, have responsibility for much of the day-to-day administration of the firm’s Compliance Program and Code of Ethics oversight. This role will have a primary focus on employee supervision and administration of the firm’s Code of Ethics and will play a key role in fostering a strong culture of compliance across the organization. This role will have a primary focus on employee supervision and Code of Ethics administration and will play a key role in fostering a strong culture of compliance by serving as a knowledgeable and approachable resource for employees seeking guidance on regulatory and ethical obligations across the organization.

The role includes supporting the firm’s preparedness for SEC examinations, monitoring compliance with applicable regulatory requirements, and contributing to the development of compliance tools, policies, and training programs designed to support business efficiency while maintaining robust regulatory oversight.

Focus provides team members the flexibility to work a hybrid schedule. Our hybrid model is defined as 3 days in office work required per week, while giving team members the option to work remotely 2 day per week, or as assigned by their team leader.

Primary Responsibilities 

• Continued implementation, development and enhancement of the firm’s comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and related manuals and policies
• Independently perform, manage, and oversee a substantial portion of the firm’s compliance testing program, including transactional, periodic, and forensic testing, and document results in accordance with regulatory expectations.
• Identify actual or potential conflicts of interest and assist in their evaluation, escalation, and elimination, mitigation, or ongoing management, as appropriate.
• Develop and maintain proficiency in the firm’s compliance-related technology platforms and systems (e.g., Salesforce, Orion) and leverage these tools to support effective compliance oversight and reporting.
• Assist in the design, implementation, and ongoing enhancement of internal compliance controls.
• Serve as a subject matter expert in the use of compliance monitoring and surveillance tools, including Global Relay, ACA Compliance Alpha, and Basis Code.
• Manage and monitor the Compliance mailbox, ensuring inquiries are addressed or appropriately escalated and delegated in a timely and consistent manner.
• Assist in the compliance supervision of employees including conducting branch office reviews/compliance audits
• Maintain a strong working knowledge of the Investment Advisers Act of 1940 and its implementing rules, as well as a strong working knowledge of the Investment Company Act of 1940.

Qualifications

• 3+ years of compliance, regulatory, or audit experience in the financial industry
• Bachelor’s degree in business or related field of study
• Microsoft Excel & Word
• Ability to utilize CRM system, such as Salesforce
• Strong problem solving and decision-making skills
• Ability to analyze and summarize data and apply critical thinking to develop conclusions from the data
• Intellectual curiosity and intelligence, as well as a proactive approach to problem-solving
• Extensive knowledge of the Investment Advisers Act of 1940, as amended
• Strong written and verbal communication skills with ability to interact effectively with peers and all levels of management
• Attention to detail, well organized, ability to perform multiple tasks simultaneously, and strong organizational skills
• Willing and able to learn and analyze securities laws
• Impeccable and unquestioned integrity and trust
• Trustworthy
• Capability to handle sensitive or confidential information and maintain confidentiality of that information
• Ability to work independently and be proficient at multi-tasking
• The individual will have demonstrated sound business judgment by developing and implementing compliance solutions that are effective and aligned with regulatory expectations and business needs and realities

The annualized base pay range for this role is expected to be between $75,000-$85,000. Actual base pay could vary based on factors including but not limited to experience, subject matter expertise, geographic location where work will be performed, and the applicant's skill set.  The base pay is just one component of the total compensation package for employees.  Other rewards may include an annual cash bonus and a comprehensive benefits package

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Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, we work with clients at every stage, helping them control their financial future — whether that’s planning for retirement, preparing the next generation, or growing their business. We are dedicated to fostering meaningful growth for our clients. Our team of advisors works collectively to deliver personalized wealth planning strategies across local communities, placing our clients’ values, goals, motivations, and priorities at the heart of everything we do.

Focus Partners Wealth is a registered investment advisor with the Securities and Exchange Commission. Registration does not imply any level of skill or training. Additional information about Focus Partners Wealth is also available on the SEC's website at www.advisorinfo.sec.gov.

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For Maryland Applicants: I UNDERSTAND THAT UNDER MARYLAND LAW, AN EMPLOYER MAY NOT REQUIRE OR DEMAND, AS A CONDITION OF EMPLOYMENT, PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT, THAT ANY INDIVIDUAL SUBMIT TO OR TAKE A POLYGRAP OR SIMILAR TEST.  AN EMPLOYER WHO VIOLATES THIS LAW IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100. 

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For Montana Applicants: If hired, the employment relationship is governed by the Wrongful Discharge from Employment Act. Mont. Code Ann. Section 39-2-901.

For Rhode Island Applicants: Focus is subject to Chapters 29-38 of Title 28 of the General Laws of Rhode Island and is therefore covered by the state’s workers’ compensation law. If you willfully provide false information about your ability to perform the essential functions of the job, with or without reasonable accommodations, you may be barred from filing a claim under the provisions of the Workers’ Compensation Act of the State of Rhode Island if the false information is directly related to the personal injury that is the basis for the new claim for compensation.  The Company complies fully with the Americans with Disabilities Act.