Advisory Compliance Analyst

About the CompanyThe Advisory Compliance Analyst is responsible for supporting the Firm's investment adviser compliance program by conducting ongoing surveillance, monitoring, testing, and oversight of advisory activities conducted through Independent Financial Group's Registered Investment Adviser (RIA). The Analyst helps ensure compliance with the Investment Advisers Act of 1940, applicable SEC and state regulations, Firm policies, fiduciary obligations, and industry best practices.About the RoleThis position performs risk-based reviews designed to identify potential compliance concerns, supports regulatory filings and disclosures, assists with the Firm's annual compliance program, and partners with internal departments and financial professionals to promote a culture of compliance. The ideal candidate possesses strong analytical skills, attention to detail, sound judgment, and the ability to communicate regulatory requirements effectively.ResponsibilitiesConduct ongoing surveillance and risk-based reviews of advisory accounts and activities to identify potential compliance concerns.Monitor advisory programs for indicators of reverse churning, inactive accounts, unsuitable fee-based relationships, billing accuracy, concentrated positions, and other advisory risks.Review advisory account activity for consistency with client investment objectives, risk tolerance, and fiduciary obligations.Perform oversight of outside custodians, including monitoring data feeds, exception reporting, and account reconciliation processes.Support the Firm's annual Investment Adviser compliance assessment, including testing, documentation, and remediation tracking.Prepare, maintain, and coordinate Form ADV Part 2B brochure supplements for Investment Adviser Representatives.Research regulatory issues and provide guidance to representatives and internal business partners regarding advisory compliance matters.Maintain accurate records of compliance reviews, testing, investigations, and corrective actions.Assist with regulatory examinations, internal audits, and requests from regulators.Participate in the development and enhancement of compliance policies, procedures, supervisory controls, and surveillance programs.Assist in the implementation and testing of compliance technology and surveillance tools.Support compliance training initiatives for Investment Adviser Representatives and Firm personnel.Perform special projects and other duties as assigned.QualificationsBachelor's degree in Finance, Business, Accounting, Economics, or related field preferred.Two or more years of experience in investment advisory compliance, securities compliance, operations, supervision, or a related financial services role preferred.Working knowledge of the Investment Advisers Act of 1940, SEC regulations, fiduciary standards, and advisory compliance practices.Experience reviewing Form ADV filings, advisory agreements, advisory billing, or advisory surveillance is preferred.FINRA Series 7 and Series 66 (or 65) preferred or willingness to obtain within an established timeframe.Strong analytical, investigative, and problem-solving skills.Excellent written and verbal communication skills.Ability to manage multiple priorities while maintaining a high level of accuracy and attention to detail.Proficiency with Microsoft Office applications, particularly Excel.Experience with advisory compliance, surveillance, CRM, portfolio management, or regulatory technology platforms is a plus.Ability to understand and apply new regulations and Firm policy changes, if applicable.Pay range and compensation packageSalary Range: $80,000–$95,000 annuallyCompensation will be based on relevant education, experience, skills, and qualifications.Our comprehensive benefits package includes:Medical, dental, and vision insuranceCompany-paid life insurance and long-term disability coverage401(k) retirement plan with a 4% employer matchWe are committed to offering a competitive compensation and benefits package that supports the overall well-being and success of our employees.