Investment 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

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Responsibilities:

· Provide support to the overall Compliance Program · Work with Compliance and other team members to strengthen policies including WISP, privacy policy reviews, business continuity and acceptable use policies. · Work with Compliance Directors to support new compliance initiatives. · Provide support to the Compliance Testing Program to resolve identified issues and undertake remedial projects as requested. · Utilize Compliance Software to manage components of the Compliance Program. · Work with the Directors 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 o Respond to incoming Compliance inquiries from investment advisory representatives and other Stratos departmental team members. o 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 · 3-5 years’ experience with an investment advisory firm · Ability to communicate positively and effectively compliance requirements to investment advisory representatives · Minimal 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