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Compliance Analyst

Orion Advisor Technology

Orion Advisor Technology

IT, Legal
Multiple locations
Posted on Friday, September 22, 2023

About this Opportunity:

As a Compliance Analyst on the Compliance Team, you will be responsible for ensuring that the activities of Orion comply with all legal and regulatory requirements, operating policies and procedures, internal limitations, and guidelines of the companies. In addition, this role will focus on compliance testing and reporting of results while assisting with advertising review and due diligence requests. As we continue to evolve and live our Orion values, we are looking for someone to grow with us.

In this role, you’ll get to:

  • ​​ Conduct daily, weekly, monthly, quarterly, and annual compliance testing of Orion businesses to assess and monitor key business risks

  • Drive the ongoing evolution of compliance testing and identify ways to enhance testing and monitoring activities

  • Manage documentation of test processes and results and analyze exceptions to enhance controls

  • Analyze, review, and approve marketing materials, request for proposals and client presentations for compliance with applicable laws and regulations

  • Monitor social media

  • Assist in due diligence reviews

  • Assist in updating Orion compliance manual and individual department policies and procedures to ensure adherence with applicable regulatory requirements

  • ​Own the brand voice and maintain voice guidelines and other editorial standards. Ensure team members and partners align with guidelines

We’re looking for talent who:

  • Has specific and working knowledge of Investment Advisers Act of 1940, mutual funds, and general securities

  • Has specific and working knowledge of SEC New Marketing Rule

  • Possess prior experience with corporate retirement plan (401k, 403b, 457, etc.) regulations

  • Has minimum of a bachelor’s degree in Business or related field

  • Has minimum of 3 years of experience, specifically at a registered investment advisor or broker dealer

  • Possess current Series 65 license

  • Obtain Orion Industry Certification

  • Owns and manages relationships with stakeholders directly and work effectively with people at all levels in an organization

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Salary Range:

$61,147.00 - $91,054.00

The pay listed in this posting indicates the estimated pay at the time of this posting; however, may vary depending on geographic location, job-related knowledge, skills, and experience. In addition, Orion offers a competitive benefits package which includes health, dental, vision, and disability coverage on day one, 401(k) plan with employer match, paid parental leave, pet benefits including pawternity leave and pet insurance, student loan repayment and more.

About Us

As One-Orion, we accomplish our best work by being personally accountable to each other and the clients we serve. We are creating a welcoming environment where everyone is respected, valued, and heard. Our willingness to disrupt ourselves, and the industry ensures we stay ahead of client expectations. Thinking differently is in our DNA – we innovate, push boundaries, reject the status quo, and relentlessly pursue transformative outcomes. It is our collective will to win that drives Orion’s success and powers success for our clients and everyone at Orion.