Compliance Analyst - Marketing

COMPLIANCE ANALYST - MARKETING

St. Louis, MO

Position Summary

The Compliance Analyst will, in coordination with the rest of the Compliance and Legal department, have responsibility for a key portion of the day-to-day administration of the firm’s compliance program. The Compliance Analyst’s primary responsibility will be to manage the review and approval of Firm advertising/marketing content.  Specifically, the Compliance Analyst will serve as the primary compliance resource on Red Oak Advertising Compliance and Marketing Review software where the Firm organizes and disseminates compliance approved content.  associate personal trading, political contributions, gifts and entertainment, and other Code of Ethics requirements through the Firm’s Code of Ethics reporting software, to ensure all Code of Ethics reporting and recordkeeping obligations are met. The Compliance Analyst will also be responsible for developing subject matter expertise on the Firm’s investment strategy and client experience.  In addition, the Compliance Analyst, working under general supervision, will assist in ensuring all content has the appropriate disclosures, copyright and required legal terms.

The Compliance Analyst also helps protect the firm’s interests through continued development and assistance in the oversight of the firm’s SEC mandated compliance program as well as helping to maintain the Firm’s Culture of Compliance. The Compliance Analyst serves as a resource to in-house professionals by helping develop tools and processes to support the firm’s strategic priorities. The Compliance Analyst will assist in other types of testing, reporting and projects outside of Marketing.  

Primary Responsibilities

• Manage and review incoming marketing requests in Red Oak to ensure compliance with the SEC’s Advertising Rule
• Partner with internal teams like Communication and Creative Services and Investment Strategy to ensure collaboration and adherence to federal securities law
• Responsible for the ultimate approval/denial of all marketing requests.
• Execution of the firm’s comprehensive Compliance Program, including Policies and Procedures, Code of Ethics and other manuals and policies
• Support ongoing Compliance training initiatives as needed, such as initial Code of Ethics onboarding
• Support the performance of compliance testing (transaction, periodic and forensic) of the firm’s Compliance Program
• Prepare reports by collecting, analyzing and summarizing data and other information related to the firm’s compliance program and testing.
• Under general supervision, research and respond to compliance questions generated both internally and externally
• Develop knowledge of Investment Advisers Act of 1940, as amended
• Develop a fundamental baseline knowledge of the federal securities laws
• Monitor and research regulations by reviewing regulatory bulletins and other sources of information

Qualifications

• Bachelor’s degree 
• 1+ years’ compliance or operations experience in the financial services industry; familiarity with compliance matters applicable to SEC-registered investment advisers is preferred

About Focus Partners Wealth
 
Focus Partners Wealth is an organization of wealth, asset, and business management resources that brings strength, innovation, and partnership to client relationships. Through a comprehensive range of services, we work with clients at every stage, helping them control their financial future — whether that’s planning for retirement, preparing the next generation, or growing their business. We are dedicated to fostering meaningful growth for our clients. Our team of advisors works collectively to deliver personalized wealth planning strategies across local communities, placing our clients’ values, goals, motivations, and priorities at the heart of everything we do.

Focus Partners Wealth is a registered investment advisor with the Securities and Exchange Commission. Registration does not imply any level of skill or training. Additional information about Focus Partners Wealth is also available on the SEC's website at www.advisorinfo.sec.gov.

*This is a Non-exempt position

The annualized base pay range for this role is expected to be between $60,000 - $70,000/year.  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 applicant's skill set.  The base pay is just one component of the total compensation package for employees.  

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