The Junior Compliance Analyst supports the Compliance Department in maintaining and monitoring the firm’s regulatory compliance program. This role assists in ensuring adherence to applicable laws, regulations, and internal policies governing registered investment advisers, including SEC and state regulatory requirements.
The position provides an excellent opportunity for an early-career professional to gain experience in investment advisory compliance, regulatory filings, and internal controls.
Assist in the administration of the firm’s compliance program in accordance with SEC and state investment adviser regulations, including the Investment Advisers Act of 1940.
Support the monitoring of compliance with internal policies, procedures, and the firm’s Code of Ethics.
Assist in preparing compliance documentation for regulatory examinations and internal audits.
Conduct daily, weekly, and monthly compliance monitoring tasks.
Review employee personal trading reports and monitor adherence to personal trading policies.
Assist in monitoring marketing materials, communications, and client correspondence for regulatory compliance.
Assist with preparation and maintenance of regulatory filings.
Maintain accurate records in accordance with SEC recordkeeping requirements.
Support periodic compliance testing and internal reviews of firm procedures.
Assist with risk assessments and testing of compliance controls.
Help administer compliance training for employees.
Maintain compliance manuals, policies, and procedures.
Assist in updating compliance documentation as regulations evolve.
Monitor regulatory developments and assist in evaluating their impact on firm policies.
Conduct research on regulatory requirements and industry best practices
This is a full-time, office-based position in a modern, cozy environment in our Fort Lauderdale HQ.
Our standard working hours are Monday to Friday, 9:00 AM to 6:00 PM, promoting a healthy work-life balance.
Sound judgement, problem solving and decision-making skills.
Possess strong personal computer skills including experience in Microsoft Windows, Excel, Word, and Outlook.
Excellent communication skills, both verbal and written.
Enthusiasm for providing customers with the best possible service.
Company Culture: Inclusive and supportive, where you are not a number, but a voice that's heard and brings value.
Growth Path: Defined paid training and clear pathways for career development.
Benefits: Comprehensive benefits package including PTO, sick days, paid volunteer hours, medical, dental, vision insurance, and 401(k).
Take the first step towards a rewarding career in the mortgage industry with AD Mortgage.
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We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sexual orientation, age, marital status, veteran status, or disability status.
We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform crucial job functions, and to receive other benefits and privileges of employment. Please contact us to request accommodation.