Compliance Analyst

We are hiring for our Compliance team at Stratos Wealth Partners where we provide a platform of Broker-Dealer and RIA services for our registered reps/advisors.   We are looking for an experienced Compliance Analyst to support the Stratos RIA Compliance Program.  We are a growing department that offers room to develop and advance skills.

Essential Duties and Responsibilities:

• Provide leading support to the Compliance Branch Exam Program

  • Work with the Director overseeing the Branch Exam Program to recommend enhancements to the Branch Exam Program.

  • Complete all assigned Branch Exams with all appropriate write-ups and follow ups.

  • Develop and report on metrics identified through the Branch Exam Program, including trends and opportunities for improved advisor education.

  • Assess all activities for existing and emerging risks.  Evaluate the materiality of risks identified and work with members of the Compliance Team to develop recommendations for risk mitigation.

  • Timely execute the Firm’s Branch Exam Program.

  • Review compliance and other reports to identify deeper issues and common themes.  Recommend corrective action as necessary.

• Utilize Compliance Software to manage components of the Compliance Program.

• Work with the Director overseeing Vendor and Product due diligence reviews, IT and other Stratos team members to enhance the due diligence oversight programs.

• Work with the Director overseeing IT related Compliance policies and procedures to properly develop and document updated policies and procedures as new laws, rules and best practices develop.

• Continually work to improve the Stratos Compliance Program by offering suggestions for improvement and collaborating with team members and management to implement solutions.

Additional Responsibilities

• Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos IT team members.

• Perform additional projects and tasks in support of the Stratos Compliance program as assigned.

Skills / Key Competencies Required:

• Bachelor’s degree.

• FINRA SIE, Series 7, 24 and 65/66.

• 2-3 years’ experience with an investment advisory firm.

• Ability to communicate positively and effectively compliance requirements to investment advisory representatives.

• Travel required.

• Attention to Detail / Data Organization.

• Proficient with technology.

• Effective communication skills, written and verbal.

• Ability to work in a fast-paced, changing environment.

• Collaborative mentality; strong team orientation.