Note: The job is a remote job and is open to candidates in USA. Atlas Private Wealth Advisors is hiring a Compliance Analyst to maintain and strengthen its compliance program. The role covers compliance testing, regulatory filings and records, employee and advisor onboarding and offboarding, compliance-linked HR tasks, and reporting to firm leadership.
Responsibilities
- Maintain the firm's compliance manual and policies and procedures, keeping them current with regulatory requirements
- Conduct quarterly compliance testing and document results and remediation
- Prepare and submit required regulatory filings and maintain registration upkeep for the firm and its advisors
- Oversee books and records requirements to ensure accurate, complete, and accessible documentation
- Review marketing and advertising materials for compliance
- Respond to LPL Financial supervision requests accurately and on deadline
- Support regulatory and LPL examinations, including gathering documents and preparing responses
- Conduct vendor due diligence and maintain supporting documentation
- Manage compliance onboarding for new employees and advisors, including regulatory due diligence
- Support the compliance integration of acquired practices and their staff
- Manage offboarding, including filing Form U5 within 30 days, removing system access, preserving records, protecting client data, and completing LPL separation requirements
- Administer new hire paperwork
- Track required training and ensure completion
- Update the employee handbook and compliance manual as policies and regulations change
- Deliver monthly reports to firm leadership on testing status and open items, with clear follow-up on what's outstanding
Skills
- Active Series 65 and Series 24 licenses (required)
- Extreme attention to detail. In a role where accuracy matters enormously, you catch what others miss
- 5+ years of compliance experience at an SEC- or state-registered investment adviser, broker-dealer, or similar financial services firm
- Working knowledge of the Investment Advisers Act, including the Compliance Rule, Books and Records Rule, and Marketing Rule, as well as FINRA requirements
- Hands-on experience with Form ADV, Form U4, and Form U5 filings and registration maintenance
- Experience conducting compliance testing, preparing for regulatory exams, and documenting findings
- Strong written communication, with the ability to draft clear policies, procedures, and leadership reports
- Exceptional organization and self-motivation, with a proven ability to manage your own time, tasks, and calendar in a remote, part-time setting
- A high level of self-sufficiency. You take ownership, prioritize effectively, and keep work moving without close supervision
- Resourcefulness. You find answers, research regulations independently, and make things happen without waiting to be told how
- Absolute discretion with confidential client, employee, and firm information
- Proficiency in Microsoft Office Suite
- Experience with Redtail, compliance management systems like ACA Compliance Alpha or LPL Financial is a plus
- Experience working at LPL or an LPL-affiliated firm preferred
Benefits
- Annual performance bonus eligibility
- 401(k) with up to 4% employer match
- Health insurance, including a plan option where the firm covers 100% of your monthly premium
- Voluntary dental and vision plans
- Generous sick leave and PTO
- Summer Fridays
- Fully remote position
Company Overview