Fiducient Advisors provides tailored and personalized investment consulting services to clients such as retirement plan sponsors, endowments and foundations, private clients, and financial institutions. We operate with over 200 professionals nationwide, supporting our distinct purpose of helping clients prosper.
The Compliance Analyst is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk. This individual will serve as the primary day-to-day compliance partner to the firm’s marketing team and management of the firm’s code of ethics.

REQUIRED EDUCATION, PROFESSIONAL & TECHNICAL EXPERIENCE:

• Bachelor’s degree and 2-5 years of investment advisory compliance experience required
• Minimum 2 years of experience conducting marketing reviews for an investment adviser
• Minimum 2 years of administering personal trading, marketing reviews for an investment adviser
• Strong experience working with Institutional marketing in conducting compliance review of marketing materials required
• Working knowledge of compliance systems for personal trading and marketing reviews
• Experience with Investment Advisers Act of 1940, ERISA, and knowledge of SEC rules and regulations required
• Proficiency in Microsoft Suite

WORK ENVIRONMENT & TRAVEL REQUIREMENTS:

• This role may have occasional travel for training and or business/events.
• This role offers a hybrid work model with three days in one of our professional office environments and two days remotely.

WHAT WE OFFER (SUMMARY HIGHLIGHTS):

A workplace that welcomes authenticity and practices acceptance for what makes each of us different. We are committed to educating our team, growing as a firm, and taking intentional actions related to inclusion and belonging. We strive to be active participants of change in and outside our industry.
The base salary range for this position is $75,000 – $92,000. The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives.

RESPONSIBILITIES:

• Interpret, advise, administer, and monitor the Firm’s Code of Ethics for personal trading along with all required employee reporting requirements
• Review the firm’s marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant.
• Work with business teams on implementing regulatory changes that impact marketing
• Assist with electronic communication reviews
• Support Compliance Manager by conducting compliance testing on the firm’s policies and procedures
• Assist with the preparation and submission of regulatory filings and disclosure documents
• Provide support for internal and external audits and examinations
• Conduct oversight and due diligence on critical vendors
• Assist with the revision of policies and procedures
• Assist with annual and ad hoc compliance training
• Performs other compliance duties as required by the Compliance Manager

The physical job expectations described here are representative of those that must be met by an associate to successfully perform the essential functions of this job.

• Must be able to remain in a stationary position for up to 8 hours.
• Constantly operate a computer and other office productivity machinery, such as a calculator, copy machine, and computer printer.
• The ability to communicate information and ideas so others will understand. Must be able to exchange accurate information.
• The person in this position may at times need to move throughout the building to access different areas.
• Ability to move equipment weighing up to 25 pounds.
• Reasonable accommodations may be made to enable individuals with disabilities to perform their primary responsibilities