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Compliance Risk/Analyst

Position: Compliance Risk/Analyst

Location: Chatham, NJ

Duties and Responsibilities:

If you are analytical, organized, and detail-oriented, the Compliance/Risk Analyst position may be a good fit for you. As the Compliance/Risk Analyst, you will be an important part of the Compliance team for an RIA and BD, reporting directly to the Chief Compliance Officer. You will support the coordination and preparation of all risk-related reporting for the group as well as legal entities and branch offices and work closely with the Finance and Operations and IT teams as well as the business units to ensure cohesive risk communications. You will be required to have strong organization and communication skills and will have interaction with multiple other functional areas including underwriting, finance, technology, and senior management.

  • Comply with and stay abreast of relevant security regulations, laws, and technologies and adjust programs and processes as needed. 
  •  Summarize and analyze large volumes of data in a meaningful and actionable manner.
  • Accurately document system changes and follow procedures to ensure system integrity.
  • Formulate, draft, and maintain accurate and current internal control procedures, programs and related documentation.
  • Prepare analyses which are submitted to internal management.
  • Assist and interface with examiners/auditors during regulatory exams and internal audits.
  • Maintain good working knowledge and awareness of firm goals, regulatory and legislative developments, and financial industry audit control and trends.
  • Prepare and update department compliance policies and procedures.
  • Analyze current process and modeling tools to identify issues requiring corrective action and oversee corrective actions relating to areas of responsibility.
  • Prepare reporting according to established deadlines and ad hoc requests, while managing multiple responsibilities.
  • Seek ways to improve internal processes and create cost efficiencies through report automation and streamlining of current reports to reduce redundancy and duplication of effort.
  • Recommend and establish standards, guidelines and processes that improve system and reporting efficiencies.
  • Assist with special projects and/or investigations as they arise.
  • Other duties as assigned.

Job Requirements and Qualifications:

  • Full Time, in the office. Proof of vaccination is required.
  • Minimum 5-10 years of experience in a compliance environment for a BD and RIA.
  • Thorough knowledge of regulatory rules applicable to BD and RIA.
  • Bachelor’s Degree from an accredited college or university preferred.
  • Ability to accept accountability, assume pro-active leadership, demonstrate initiative, and lead by example in teamwork, cross-unit co-operation, and information-sharing environments.
  • Exceptional interpersonal skills and superior judgment
  • Organize workload and prioritize responsiveness and efficiency both individually and for the team.
  • Work independently and adapt to changing and competing priorities.
  • Team player with a desire to learn.
  • MS Excel, Word, Outlook, and PowerPoint proficiency


Compensation is dependent upon factors including but not limited to the candidate’s experience, skills, registration status; market conditions; and business needs. This salary does not include other elements of total compensation, including a discretionary bonus and benefits such as a 401(k) program with company-matching contributions; health, dental, vision, life, and disability insurance; and paid time-off plan.

We are an Equal Opportunity Employer.

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