Investment Advisory Compliance Analyst

Advisory Services Network, LLC is an SEC registered investment advisory firm comprised of a dedicated staff who work together to build unrivaled partnerships with our investment professionals. We currently support 151 offices across the United States and are rapidly increasing. We are a multi-custodial firm and clear through all of the major custodial platforms. Our unique culture puts our investment professionals and their clients at the heart of everything we do.Position SummaryYour position, as a Compliance Surveillance Analyst, is to support the Chief Compliance Officer in all aspects of the firm's risk and compliance program and provide operational and administrative support.Your knowledge of firm policies, procedures and regulatory requirements allows you to perform, analyze and/or facilitate specific components of the compliance monitoring program. You will work independently and in conjunction with other members of the firm's compliance and operations team to help mitigate risk to the firm and resolve problems. You are detail oriented with proven organizational skills, able to manage time efficiently and can multi-task. You have proven written and verbal communication skills. We can offer you an exciting, fast-paced working environment, and the opportunity to play a vital role in our growth. We are an equal opportunity employer offering a competitive salary and benefit package.Key TasksUnder the direction of the CCO, conduct compliance reviews to evaluate and test for compliance with applicablerules and regulations, policies and procedures. Provide written reports of findings.Review daily exception reports and alerts and process accordinglyProactively review Financial Advisor email communications and escalate any concerns to the CCOInteract with Compliance Team and advisors to help resolve potential compliance issuesReview Financial Advisor attestations and reportsPay close attention to detail, process work accuratelyInterpret impact of new regulation on existing and future communication and contribute to compliance policy development. Proactively develop self to continuously improve knowledge and skills and communicate development needs to the CCO as applicableCreate a strong working relationship with advisors and their assistantsSkills and Experience Required1-3 years of investment advisory or FINRA member broker/dealer compliance experienceUnderstanding of the regulatory environment with respect to investment advisers, including the Investment Advisers Act of 1940Excellent skills in Microsoft Office Suite and other technologiesDetail and service oriented with proven organizational skills, able to manage time efficiently and can multi-taskProven written and verbal communication skillsAbility to work both independently and collaborativelyLearning agile, able to adapt quickly and appropriately with the evolution of regulatory requirementsBenefitsMedical, Vision and Dental InsurancePrescription Drug Coverage / 401(k) Profit Sharing Plan / Paid Vacation and HolidaysLife Insurance / Accidental Death and DismembermentVoluntary Life, AD&D options, Long-Term Disability and Flexible Spending AccountsDomestic Partner ProgramPlease submit resumes to Recruitment@

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