We are seeking a Compliance Analyst II with a strong desire to learn and grow with Destination Wealth Management. The Compliance Analyst II primary function is to work directly with the Compliance on developing, implementing, communicating, and reviewing corporate policies, procedures, trends and systems designed to enable Destination Wealth Management to effectively manage risk and remain in Compliance with the various regulatory authorities.
• Assist with policies and procedures meant to ensure compliance with applicable laws, knowledge of the Investment Advisers Act, SEC rules and regulations. • Reviewing compliance policies, procedures and related documentation as required. • Communicating compliance policies and guidelines to teams and employees. • Assisting Compliance with completion of various compliance tasks including, but not limited to, disclosure documentation updates, policies and procedures reviews, personal securities reviews, advertising reviews, vendor due diligence reviews, etc. • Assist with special project work and various legal & compliance initiatives. • Conducts initial reviews of alleged compliance violations and escalates to the Chief Compliance Officer. • Conducts periodic tests and audits of organizational operations. • Identify gaps in documentation, or potential areas of non-compliance, and suggests resolutions. • Research new rules and regulations and assist in implementing appropriate policies and procedures. • Other duties as assigned.
Compliance Analyst Requirements:
• Bachelor’s degree or equivalent combination of experience and education required. • Possess a high level of professionalism, confidentiality, discretion and judgment. • Demonstrated solutions-oriented decision-making abilities, and successful experience applying reasonable judgement. • Work experience in Compliance preferable with a Registered Investment Advisor. • Compliance and fiduciary related examinations and certifications preferred, but not required. • In-depth knowledge of industry compliance requirements and standards. • Ability to successfully balance multiple projects and work priorities in a highly independent and self-directed environment. • Detail oriented with exceptional analytical abilities to understand and formulate compliance policies, procedures, and related documentation. • Effective research skills. • Exceptional communication and interpersonal skills.