Focus Partners Wealth · 23 hours ago
Senior Compliance Analyst
St. Louis
Full-time
Hybrid
Mid, Senior Level
$75K/yr - $85K/yr
3+ years expFocus Partners Wealth is seeking a Senior Compliance Analyst to oversee the day-to-day administration of the firm’s Compliance Program and Code of Ethics. This role will focus on employee supervision, compliance monitoring, and contributing to the development of compliance tools and training programs.
ConsultingFinancial Services
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
Qualification
Required
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
Benefits
Annual cash bonus
Comprehensive benefits package
Company
Focus Partners Wealth
Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships.
1001-5000 employees
Funding
Current Stage
Late StageLeadership Team
Craig S Jones
Chief Diversity Officer
Recent News
Business Insider
2025-04-26
InvestmentNews
2024-04-08
2024-04-08
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