The Sr. Compliance Analyst supports the implementation, administration, and ongoing monitoring of the firm’s risk-based compliance program. This role works closely with the Director of Compliance and Chief Compliance Officer to help ensure the firm’s activities adhere to applicable regulatory requirements, internal policies, and industry best practices.
The Sr. Compliance Analyst plays a key role in executing the firm’s compliance testing and monitoring program, supporting regulatory filings and disclosures, reviewing marketing material for regulatory compliance, maintaining required records, and assisting with regulatory examinations and inquiries.
This role is designed for a detail-oriented professional who can help operationalize compliance initiatives while contributing to a strong culture of ethics, integrity, and regulatory awareness throughout the firm.
Key Skills for This Role
CRMdocument management systems
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Job Summary
The Sr. Compliance Analyst supports the implementation, administration, and ongoing monitoring of the firm’s risk-based compliance program. This role works closely with the Director of Compliance and Chief Compliance Officer to help ensure the firm’s activities adhere to applicable regulatory requirements, internal policies, and industry best practices.
The Sr. Compliance Analyst plays a key role in executing the firm’s compliance testing and monitoring program, supporting regulatory filings and disclosures, reviewing marketing material for regulatory compliance, maintaining required records, and assisting with regulatory examinations and inquiries.
This role is designed for a detail-oriented professional who can help operationalize compliance initiatives while contributing to a strong culture of ethics, integrity, and regulatory awareness throughout the firm.
Key Responsibilities
Compliance Testing, Monitoring & Risk Assessment Execute MCF’s annual and quarterly compliance testing and monitoring program, including risk-based reviews, periodic surveillance, and sample testing. Maintain the compliance testing calendar and document testing procedures, results, exceptions, findings, and remediation in accordance with regulatory expectations. Support the development and maintenance of MCF’s Compliance Risk Assessment, incorporating testing results, regulatory developments, trends, and emerging risks. Identify and escalate compliance risks and control deficiencies; track remediation and report significant findings and trends to Compliance leadership.
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Execute MCF’s annual and quarterly compliance testing and monitoring program, including risk-based reviews, periodic surveillance, and sample testing.
Maintain the compliance testing calendar and document testing procedures, results, exceptions, findings, and remediation in accordance with regulatory expectations.
Support the development and maintenance of MCF’s Compliance Risk Assessment, incorporating testing results, regulatory developments, trends, and emerging risks.
Identify and escalate compliance risks and control deficiencies; track remediation and report significant findings and trends to Compliance leadership.
Regulatory Filings, Recordkeeping & Policy Support Support the preparation, maintenance, and timely filing of Form ADV and related disclosures, and other regulatory filings, certifications, and reporting obligations. Coordinate the collection and validation of information from internal stakeholders to support regulatory filings, annual compliance requirements and program updates. Monitor regulatory developments and assist with assessing and implementing necessary updates to MCF’s policies, procedures, disclosures, and compliance program. Support MCF’s annual compliance program review, development and maintenance of compliance policies, procedures, training materials, and other regulatory documentation. Maintain accurate compliance records in accordance with SEC recordkeeping requirements and MCF policies, and track required deliverables to ensure timely completion.
Support the preparation, maintenance, and timely filing of Form ADV and related disclosures, and other regulatory filings, certifications, and reporting obligations.
Coordinate the collection and validation of information from internal stakeholders to support regulatory filings, annual compliance requirements and program updates.
Monitor regulatory developments and assist with assessing and implementing necessary updates to MCF’s policies, procedures, disclosures, and compliance program.
Support MCF’s annual compliance program review, development and maintenance of compliance policies, procedures, training materials, and other regulatory documentation.
Maintain accurate compliance records in accordance with SEC recordkeeping requirements and MCF policies, and track required deliverables to ensure timely completion.
Marketing & Advertising Review Conduct compliance reviews of marketing and advertising materials to ensure adherence to SEC marketing rules. Maintain complete and organized records of marketing reviews, approvals, supporting documentation, and related compliance determinations. Conduct periodic marketing and communications surveillance and testing to identify potential compliance issues, trends, or deficiencies and escalate higher-risk or complex matters to Compliance leadership.
Conduct compliance reviews of marketing and advertising materials to ensure adherence to SEC marketing rules.
Maintain complete and organized records of marketing reviews, approvals, supporting documentation, and related compliance determinations.
Conduct periodic marketing and communications surveillance and testing to identify potential compliance issues, trends, or deficiencies and escalate higher-risk or complex matters to Compliance leadership.
Regulatory Examinations & Inquiries Support preparation for regulatory examinations, document requests, and inquiries. Assist in coordinating internal responses and compiling supporting documentation. Maintain examination support materials and remediation tracking.
Support preparation for regulatory examinations, document requests, and inquiries.
Assist in coordinating internal responses and compiling supporting documentation.
Maintain examination support materials and remediation tracking.
Custodian & Third-Party Oversight Assist with compliance oversight related to custodians and third-party platforms. Support periodic certifications, data requests, and due diligence processes. Maintain documentation related to third-party compliance obligations.
Assist with compliance oversight related to custodians and third-party platforms.
Support periodic certifications, data requests, and due diligence processes.
Maintain documentation related to third-party compliance obligations.
Training & Compliance Culture Administer and support MCF’s employee compliance program. Monitor employee compliance with MCF policies, the Code of Ethics and regulatory requirements. Assist in the development, coordination and delivery of compliance training for employees. Track and monitor completion of required compliance training and certifications. Provide guidance to employees regarding firm policies and regulatory expectations.
Administer and support MCF’s employee compliance program.
Monitor employee compliance with MCF policies, the Code of Ethics and regulatory requirements.
Assist in the development, coordination and delivery of compliance training for employees.
Track and monitor completion of required compliance training and certifications.
Provide guidance to employees regarding firm policies and regulatory expectations.
Compliance Reporting Assist in preparing compliance reports, metrics, and dashboards for management. Support periodic reporting related to compliance testing results, monitoring activities, and regulatory developments.
Assist in preparing compliance reports, metrics, and dashboards for management.
Support periodic reporting related to compliance testing results, monitoring activities, and regulatory developments.
Compliance Program Support Assist with the maintenance and enhancement of the firm’s compliance policies and procedures. Monitor regulatory developments and assist with evaluating potential impacts on the firm. Participate in continuous improvement initiatives to enhance the effectiveness and efficiency of the compliance program.
Assist with the maintenance and enhancement of the firm’s compliance policies and procedures.
Monitor regulatory developments and assist with evaluating potential impacts on the firm.
Participate in continuous improvement initiatives to enhance the effectiveness and efficiency of the compliance program.
Qualifications
Education & Experience Bachelor’s degree in finance, business, accounting, law, or related field, preferred. 4-7 years’ experience in investment adviser compliance, financial services compliance, or a related regulatory role, preferred. Experience supporting an SEC-registered investment adviser strongly preferred.
Bachelor’s degree in finance, business, accounting, law, or related field, preferred.
4-7 years’ experience in investment adviser compliance, financial services compliance, or a related regulatory role, preferred.
Experience supporting an SEC-registered investment adviser strongly preferred.
Regulatory Expertise : Knowledge of the Investment Advisers Act of 1940, SEC rules, and other relevant industry regulations. Understanding of compliance program requirements, regulatory filings, and SEC Examination processes.
Knowledge of the Investment Advisers Act of 1940, SEC rules, and other relevant industry regulations.
Understanding of compliance program requirements, regulatory filings, and SEC Examination processes.
Skills & Competencies
Growth Mindset Willingness to embrace change and facilitate the adoption of the firm’s compliance function to grow with the organization.
Willingness to embrace change and facilitate the adoption of the firm’s compliance function to grow with the organization.
Communication Strong written and verbal communication skills with the ability to interact effectively across all levels of the organization.
Strong written and verbal communication skills with the ability to interact effectively across all levels of the organization.
Analytical Thinking Ability to analyze regulatory changes, identify potential risks, and assist in developing practical compliance solutions.
Ability to analyze regulatory changes, identify potential risks, and assist in developing practical compliance solutions.
Technical Proficiency Experience with compliance tools, CRM systems, and document management systems. Ability to leverage technology to improve compliance processes and reporting.
Experience with compliance tools, CRM systems, and document management systems.
Ability to leverage technology to improve compliance processes and reporting.
Organization & Attention to Detail Ability to manage multiple priorities while maintaining accuracy in documentation and reporting.
Ability to manage multiple priorities while maintaining accuracy in documentation and reporting.
Professional Integrity Demonstrated commitment to ethical business practices and fostering a strong culture of compliance.
Demonstrated commitment to ethical business practices and fostering a strong culture of compliance.
Certifications (Preferred) Investment Adviser Certified Compliance Professional (IAACP®) certification a plus. Other relevant industry credentials (Series 7, 24, 66 or similar) are a plus.
Investment Adviser Certified Compliance Professional (IAACP®) certification a plus.
Other relevant industry credentials (Series 7, 24, 66 or similar) are a plus.
Privately held Kentucky wealth management and investment advisory firm serving individuals, families, business owners, and institutional retirement plans.
