Compliance Analyst
Compliance Analyst
Our client, a rapidly growing wealth management firm, is seeking a Compliance Analyst to support its expanding oversight and supervisory functions. This role focuses on reviewing financial activity, identifying potential risks, and helping ensure the firm maintains strong adherence to regulatory expectations. The analyst will evaluate patterns, prepare clear summaries, and collaborate with internal teams to strengthen compliance processes.
This position is well‑suited for someone who enjoys investigative work, data analysis, and applying regulatory guidance in a practical environment.
Key Responsibilities
Activity monitoring - Review business activity to identify potential compliance concerns or unusual trends.
Risk trend reporting - Prepare summaries highlighting patterns that may require follow‑up.
Cross‑team communication - Share findings with internal teams and leadership to support informed decision‑making.
Procedure development - Assist in creating and refining compliance and surveillance procedures.
Project support - Participate in special projects and regulatory‑related initiatives.
Quality review - Review analyst work for accuracy and consistency.
System testing - Support testing and validation of compliance‑related systems.
Training - Assist with onboarding and mentoring new analysts.
Required Qualifications
1+ years of experience in financial services, compliance, supervision, or a related field.
Strong proficiency in Excel and comfort with standard office software.
General understanding of investment products and financial industry operations.
Ability to analyze data, identify patterns, and work through compliance‑related questions.
Strong attention to detail and ability to manage work independently.
Ability to interpret regulatory materials and internal policies.
Clear written and verbal communication skills.
Preferred Qualifications
Industry licenses (e.g., Series 7, Series 24) are a plus.
Experience in compliance, supervision, or regulatory review.
Background in an advisory or broker‑dealer environment is helpful.
Work Schedule & Compensation
Location: Atlanta, GA
Schedule: Hybrid (on‑site + remote flexibility)
Salary: $55,000-$60,000 per year, depending on experience, plus bonus
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