Compliance Analyst

ORION • Omaha, NE

1d • $56,046 - $82,313 • Hybrid

About The Position

About this Opportunity: The Compliance Analyst ensures Orion complies with all legal, regulatory, and internal requirements while supporting the firm’s Investment Adviser and Broker‑Dealer compliance programs. The role performs core operational duties and conducts structured testing to evaluate the effectiveness of key controls. The analyst partners with teams across the organization — including Sales, Marketing, Operations, IT, Global Workforce, and external vendors — to maintain compliance readiness. They also contribute to the continued evolution of Orion’s compliance program as the organization grows. Core duties align with market expectations for compliance operations (policy maintenance, monitoring, documentation, regulatory filings) and compliance testing (designing and executing test plans, documenting findings, and evaluating controls). For Internal and External Candidates: Candidates must work in-office at one of the following locations for at least 3 days per week: Omaha, NE.

Requirements

• Specific and working knowledge of the Investment Advisers Act of 1940, mutual funds, and general securities.
• Working knowledge of licensing and registration requirements for investment adviser and broker dealer entities.
• Strong understanding of SEC, FINRA, and state regulatory frameworks.
• Ability to manage compliance policies, procedures, workflows, and regulatory calendars.
• Strong experience with Code of Ethics oversight and marketing/advertising compliance standards.
• Skilled at maintaining documentation, evidence libraries, SOPs, interpretations, and disclosures.
• Proficiency in test plan design, sample selection, testing execution, exception analysis, remediation validation, and control evaluation.
• Familiarity with compliance risk assessment methodologies and assurance frameworks.
• Ability to drive iterative improvements in testing and monitoring activities.
• Advanced Excel proficiency (pivot tables, advanced formulas), data sampling, dashboarding, and trend analysis.
• Strong written and verbal communication skills; ability to translate complex regulations into practical guidance.
• Ability to own and manage stakeholder relationships at all levels of the organization.
• Ability to challenge control owners diplomatically and coordinate with internal audit.
• Attention to detail, time management, analytical rigor, judgment, confidentiality, and regulatory curiosity.
• 3–5 years of experience in compliance, risk, audit, regulatory operations, or financial services compliance roles.
• Market data indicates these are typical expectations for midlevel compliance analyst roles and compliance testing roles.
• Bachelor’s degree required — Business, Finance, Accounting, Law, or a related discipline.

Nice To Haves

• Experience with corporate retirement plan regulations (401k, 403b, 457, etc.) a plus, not required.

Responsibilities

• Analyze, review, and approve marketing materials and client presentations to ensure compliance with applicable laws and regulations.
• Monitor Orion’s social media usage for compliance with regulatory requirements.
• Conduct daily, weekly, monthly, quarterly, and annual compliance operations tasks to ensure Orion meets its regulatory obligations.
• Maintain and update compliance program documentation, policies, procedures, and evidence repositories.
• Manage regulatory calendars, monitoring workflows, and compliance dashboards.
• Oversee filing, updating, and maintaining investment adviser and broker dealer securities registrations and licensing.
• Oversee Code of Ethics compliance including trade preclearance, post trade reviews, gifts and entertainment, outside business activities, and private placements.
• Create and maintain a library of interpretations, best practices, and disclosures related to marketing compliance review.
• Identify opportunities to utilize the Global Workforce for operational tasks; train and support them as needed.
• Conduct daily, weekly, monthly, quarterly, and annual compliance testing to assess and monitor key business risks and controls.
• Design, execute, and document compliance test plans, sampling methodologies, and control evaluations.
• Manage documentation of testing processes and results; analyze exceptions to enhance controls.
• Drive the ongoing evolution of compliance testing and identify enhancements for monitoring and testing activities.
• Identify opportunities to leverage the Global Workforce for testing and provide training/support for assigned processes.
• Prepare audit ready test documentation, including findings, root cause analysis, and remediation validation.
• Produce periodic reports summarizing testing results, risks, trends, and recommendations for leadership.
• Respond to inquiries from internal and external parties related to Orion’s compliance program.
• Provide guidance and training to Sales, Marketing, Operations, Product, IT, and external vendors.
• Coordinate compliance governance activities, issue tracking, and remediation documentation.
• Assist the CCO in updating the compliance manual and department policies to reflect evolving regulatory requirements.
• Assist the CCO in gathering information and documentation for regulatory exams, inquiries, and audits.
• Perform other duties as assigned.

Benefits

• In addition, Orion offers a competitive benefits package which includes health, dental, vision, and disability coverage on day one, 401(k) plan with employer match, paid parental leave, pet benefits including pawternity leave and pet insurance, student loan repayment and more.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level