Compliance Analyst jobs in United States
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STRATOS · 5 hours ago

Compliance Analyst

positionBeachwood, Ohio, United States
timeFull-time
remoteHybrid
seniorityEntry, Mid Level
money$72K/yr - $80K/yr
date2+ years exp

STRATOS is a growing company providing a platform of Broker-Dealer and RIA services for registered reps/advisors. They are seeking an experienced Compliance Analyst to support their RIA Compliance Program, focusing on enhancing compliance measures and mitigating risks.

ConsultingFinancial Services
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Growth Opportunities

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
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

Qualification

FINRA SIESeries 7Series 24Series 65/66Investment advisory experienceCompliance SoftwareProficient with technologyAttention to DetailEffective communicationCollaborative mentality

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

Company

STRATOS

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Headquartered in Beachwood, Ohio, Stratos is an independent, partner-owned and operated financial services firm that works solely to facilitate the success of more than 350 independent financial advisors nationwide.
dateFounded in 2008
location
Beachwood, Ohio, USA
people-size501-1000 employees
web-link
http://stratoswealthpartners.com

Funding

Current Stage
Late Stage
Total Funding
unknown
Key Investors
Emigrant Partners
2020-04-02Corporate Round

Leadership Team

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Jeff Concepcion
Founder and CEO
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Recent News

PR Newswire
Stratos Wealth Holdings Appoints Charis Jones as Chief Operating Officer
2025-10-09
Morningstar.com
Stratos Wealth Partners Takes No. 23 on Barron's Top Ria Firms List
2025-09-29
PR Newswire
Stratos Wealth Partners Earns Top Workplaces Honor for Second Consecutive Year
2025-06-30
Company data provided by crunchbase