Compliance Analyst

Position Summary

SCS is seeking to hire a full-time compliance analyst to join its compliance team. As a member of the firms compliance team the Compliance Analyst will be responsible for supporting the Chief Compliance Officer and the implementation of the firms compliance program. The position offers diversified experience across all functional areas of a complex investment advisory firm and interaction with a broad range of internal and external stakeholders.

Primary Responsibilities

• Compliance testing and internal audit projects
• Implementation of the firms code of ethics
• Preparation of regulatory filings
• Prioritize tasks and consistently meet deadlines in multiple functional areas
• Working with and understanding large data sets
  
  

Qualifications

• 1 years of relevant investment advisor or investment fund manager operations legal or compliance experience
• Minimum of a bachelors degree in finance economics or other related discipline
• Familiarity with investment adviser compliance requirements under the Investment Advisers Act of 1940 a plus
• Interest in and familiarity with basic wealth management business and investment concepts
• Excellent organizational prioritization and time management skills
• Analytical mindset with a strong attention to detail
• High energy and highly self-motivated with the ability to thrive in an entrepreneurialenvironment
• Strong written and oral communication skills
• Proficiencyin Microsoft Excel Word Co-Pilot (or similar LLM)and Outlook applications
  
  

This is an exempt position. The annualized base pay range for this role is expected to be between $70000 - $90000. Actual base pay could vary based on factors including but not limited to experience subject matter expertise geographic location where work will be performed and the applicants skill set. The base pay is just one component of the total compensation package for employees. Other rewards may include an annual cash bonus and a comprehensive benefits package including but not limited to medical dental vision life and 401(k). Please note that the job title is subject to change based on the selected candidates experience and education.

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About Focus Financial Partners

Focus is a leading financial services firm comprised of integrated wealth management family office and business management services. Blending deep expertise and expansive resources with a boutique client-first fiduciary philosophy Focus helps individuals families and institutions navigate complex financial situations with highly personalized solutions tailored to their unique needs. To learn more about Focus visit follow the company onLinkedIn.

Focus is an equal opportunity employer and bases its employment decisions on the employee or candidates skillset and without regard to an employee or candidates race color religion sex (including pregnancy) gender identity sexual orientation national origin age disability genetic information veteran status or any other characteristic protected by local state and/or federal law.

Focus complies with federal and state disability laws and makes reasonable accommodations for applicants and employees with disabilities. If reasonable accommodation is needed to participate in the job application or interview process to perform essential job functions and/or to receive other benefits and privileges of employment please contact .

The following language is for US based roles only

For California Applicants:Information on your California privacy rights can be found here

For Indiana Applicants: It is unlawful for an employer to discriminate against a prospective employee on the basis of status as a veteran by refusing to employ an applicant on the basis that they are a veteran of the armed forces of the United States a member of the Indiana National Guard or a member of a reserve component.

For Maryland Applicants: I UNDERSTAND THAT UNDER MARYLAND LAW AN EMPLOYER MAY NOT REQUIRE OR DEMAND AS A CONDITION OF EMPLOYMENT PROSPECTIVE EMPLOYMENT OR CONTINUED EMPLOYMENT THAT ANY INDIVIDUAL SUBMIT TO OR TAKE A POLYGRAP OR SIMILAR TEST. AN EMPLOYER WHO VIOLATES THIS LAW IS GUILTY OF A MISDEMEANOR AND SUBJECT TO A FINE NOT EXCEEDING $100.

For Massachusetts Applicants: It is unlawful in Massachusetts to require or administer a lie detector test as a condition of employment or continued employment. An employer who violates this shall be subject to criminal penalties and civil liability.

For Montana Applicants: If hired the employment relationship is governed by the Wrongful Discharge from Employment Act. Mont. Code Ann. Section.

For Rhode Island Applicants: Focus is subject to Chapters 29-38 of Title 28 of the General Laws of Rhode Island and is therefore covered by the states workers compensation law. If you willfully provide false information about your ability to perform the essential functions of the job with or without reasonable accommodations you may be barred from filing a claim under the provisions of the Workers Compensation Act of the State of Rhode Island if the false information is directly related to the personal injury that is the basis for the new claim for compensation. The Company complies fully with the Americans with Disabilities Act.