Focus Partners Wealth · 1 day ago
Compliance Data Analyst
St. Louis
Full-time
Hybrid
Entry Level
$57K/yr - $67K/yr
1+ years expFocus Partners Wealth is seeking a Compliance Data Analyst responsible for collecting, analyzing, and testing data to support the firm’s Compliance Program. The role involves conducting data analysis to identify compliance issues and supporting internal reviews and investigations.
ConsultingFinancial Services
Responsibilities
Support the ongoing implementation, administration, and enhancement of the firm’s Compliance Program, including policies and procedures, the Code of Ethics, and related compliance manuals and documentation
Collect, aggregate, analyze, and test financial, trading, and operational data using transaction-level, periodic, and forensic testing methodologies to identify potential compliance issues, emerging regulatory risks, control gaps, and indicators of non-compliance
Prepare detailed reports and documentation for management
Support internal reviews and internal investigations by performing targeted data analysis, preparing investigative documentation, and assisting with issue escalation, remediation tracking, and resolution
Assist in identifying conflicts of interest and support efforts to eliminate, mitigate or manage such conflicts in accordance with regulatory requirements and firm policies
Assist in the design, implementation, and ongoing testing of internal compliance controls to assess control effectiveness and support continuous improvement
Support regulatory reporting and examination readiness by preparing data, analyses, and documentation in response to regulatory inquiries, examinations, and document requests
Maintain and enhance compliance reporting systems and tools and serve as a subject matter resource for compliance technologies and platforms (e.g., Global Relay, ACA Compliance Alpha, Basis Code, Orion, Salesforce, or similar systems)
Collaborate with business, operations, technology, and legal teams to support compliance initiatives, ensure adherence to applicable laws and regulations, and promote a culture of compliance across the firm
Serve as a liaison or point of contact for assigned areas of compliance oversight and special projects as directed by Compliance management
Qualification
Required
1 + 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 candidate 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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