Registration Analyst

We are COMPLY .

For compliance people.

We pride ourselves on being the champion for compliance professionals. Merging technology consulting and education we help clients navigate the ever-changing regulatory environment. We serve more than 7000 clients globally through our solutions including ComplySci RIA in a Box National Regulatory Service (NRS) and illumis. We are a high-growth organization and have been recognized with numerous awards including by Inc. 5000 Institutional Asset Manager Awards Private Equity Wire Awards and the Women in Data & Technology Awards.

COMPLY is made up of 350+ professionals worldwide. In the US alone we have team members in 45 states. Employees of COMPLY have access to comprehensive benefits unlimited PTO paid bonding leave and 100% remote work flexibility with a WFH stipend.

Come join our team of talented innovators working together to forge the next generation of compliance.

To learn more about COMPLY visit COMPLY.com .

COMPLY is seeking a Registration Analyst to join our growing team! Reporting to our VP of Regulatory Affairs this person will be responsible for providing assistance on a variety of registration and regulatory matters for financial services firm customers. Our ideal candidate is motivated detail-oriented and passionate about delivering high-quality services to our clients by offering innovative solutions to regulatory requirements.

Responsibilities:

• Assist investment advisers with the State and SEC registration process.

• Gather all material information regarding investment advisers business model.

• Accurately draft and file all necessary documents related to the firm's registration.

• Understand regulatory requirements for state jurisdiction(s) and SEC

• Communicate with State and SEC regulators on behalf of our clients during the jurisdiction's registration review process.

• Make timely and accurate revisions to all appropriate documents and filings in response to regulatory comments and requested updates.

• File initial ADV filings and other-than-annual amendments for Form ADV.

• Process applications for new investment adviser firms and investment adviser representatives including Form U4.

• Review disciplinary matters affecting customers for proper DRP disclosure.

• Coordinate with COMPLY’s internal compliance experts client services representatives and other departments.

• Attend team meetings and provide regular reporting to supervisor.

• Work with COMPLY’s proprietary software including MyRIACompliance and ComplianceGuardian.

• Assist your New Registration team with various other tasks as assigned.

Qualifications:

• Skilled in problem-solving and analytical thinking.

• Ability to multitask and perform complex responsibilities across multiple projects.

• Excellent interpersonal skills including managing relationships with stakeholders at all levels.

• Proficient in Microsoft Office Suite (e.g. Excel Word Outlook) and ideally Salesforce.

• Experience with FINRA/IARD WebCRD and SEC’s EDGAR system is a plus.

• Ability to work effectively and flexibly within a client service-oriented collaborative environment.

• Exceptional organizational and time management skills.

$55000 - $65000 a year

The compensation range for this role is specific to the United States. It takes into account a wide range of factors that are considered in making compensation decisions including but not limited to skill sets training licensure and certification and experience. A reasonable estimate of the base salary range for this role would be $55000-$65000 plus applicable bonus/benefits offerings etc. as those similarly situated within the Company.

COMPLY is an Equal Opportunity Employer. All qualified applicants will receive consideration for employment without regard to race color religion disability sex sexual orientation gender identity or national origin. Nothing in this job posting should be construed as an offer or guarantee of employment.