Sr. Analyst, Compliance

CIM Group, LP • Phoenix, AZ

1d

About The Position

The Senior Compliance Analyst will work closely with the 1st Vice President of Compliance to develop, implement, oversee and measure the compliance programs that focus on CIM’s communications with the public. The ideal candidate will be well versed in SEC and FINRA advertising regulations, be able to explain complex regulatory issues to business partners and find creative solutions to aid in successful and compliant communications with public. In addition, you’ll have regular opportunities to collaborate with different teams and contribute to a variety of projects across the compliance department.

Requirements

• Bachelor’s degree or equivalent industry and work experience.
• Series 7 and 24 FINRA licenses required.
• 5+ years compliance experience in an investment products or asset management organization.
• Knowledge of and effective application of FINRA and SEC rules regarding investment product marketing.
• Proficient in understanding fund offering documents and legal documents.

Nice To Haves

• Familiarity with general investment adviser and broker-dealer compliance, ’40 Act funds, private fund offerings and non-trade REITs is a plus.

Responsibilities

• Review of all forms of communication including but not limited to print, email, public appearances, websites, and social media.
• Facilitate communication-related filings with FINRA, the SEC, and various states as required.
• Facilitate compliance-related company procedures for all communications with the public.
• Support the development and delivery of compliance training to new hires and as part of the broker-dealer’s firm element and annual compliance program.
• Assist with audits of controls, evaluation of procedural effectiveness and implementation of policy revisions in response to regulatory changes.
• Provide general compliance support related to all aspects of the broker-dealer’s regulatory obligations.
• Maintenance of advertising review systems and advertising books and records.
• Other duties assigned.

Benefits

• A variety of Medical, dental, and vision benefit plans
• Health Savings Account with a generous employer contribution
• Company paid life and disability insurance
• 401(k) savings plan, with company match
• Comprehensive paid time off, including: vacation days, 10 designated holidays, sick time, and bereavement leave
• Up to 16 hours of volunteer time off
• Up to 16 weeks of Paid Parental Leave
• Ongoing professional development programs
• Wellness program, including monthly and quarterly prizes
• And more!

What This Job Offers

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