Compliance Analyst C2P Enterprises, LLC (C2P) is seeking a highly focused, organized, and analytical Compliance Analyst to drive initiatives related to adviser supervision, compliance, and business risk. This position will support advisers throughout the United States, and reports to the VP of Compliance and Supervision. Along with the President, Chief Compliance Officer, and Compliance Team, they will be responsible for maintaining a strong culture of compliance throughout the company. Responsibilities · Ensure advisers conduct business in accordance with U.S. Federal and state laws, rules and regulations, including the rules and regulations of the Securities and Exchange Commission, internal policies, and industry best practices. · Develop and conduct targeted training on Prosperity Capital Advisors (PCA) rule requirements for all advisers, including PCA Annual Compliance Training. · Enforce written supervisory and compliance procedures. · Provide supervisory oversight of our Registered Investment Advisor and their Investment Adviser Representatives. · Review and investigation of actions that trigger flags in various review systems. · Conduct branch office and individual advisor audits, including inspection of business practices. · Electronic communications surveillance. · Personal securities monitoring and certifications. · Develop, administer, and reconcile PCA Annual Compliance Certification. · Sales material and correspondence review for all entities for PCA and its IARs · Social media review for PCA and its IARs. · Manage and record all company complaints and see them through to resolution. · Manage appropriate books and records for all Outside Business Activities. · Monitor financial planning policies and procedures as well as supervision and enforcement of timely completion and final plan reviews. · Onboarding of new PCA access persons. · Maintain current ADV 2B for all IARs. · Develop and perform various testing activities. · Conduct due diligence on products and services. · Update disclosures and Company websites, ensuring accuracy and consistency · Serve as an overall resource for Compliance and foster a success-oriented, accountable environment within the Compliance department. · Manage and maintain appropriate books and records for all Private Securities Transactions. · Review of advisory accounts to include new account suitability (IPS & DOL review), trade review and testing. · Assist on special projects and ad hoc assignments. The above areas of responsibility are not exhaustive and may continue to evolve. Educational Background and Licensing · Bachelor’s degree or higher (preferred) · 2 years’ experience in an SEC regulated RIA, and/or FINRA broker dealer (preferred) · Ideally the candidate is knowledgeable with Investment Advisors Act of 1940 rules and regulations, though we will offer consideration to those who are not yet proficient · Should have some knowledge and experience with applicable SEC rules and regulations for a Registered Investment Advisor firm (RIA) · Experience in monitoring and/or surveillance, whether directly or through an oversight or reporting-line function · Ability to work in a team-based environment, possessing confidence in decision making · Series 65 (preferred) · Proven problem-solving and communication skills that demonstrate creativity and commitment to core values · Candidates that do not currently meet all of the above criteria will be considered if they have currently or previously held roles in a financial services organization, even if that role was not in the compliance or supervision department · This is a remote role, however, there is a preference for a candidate located in the Minneapolis/Saint Paul location C2P Enterprises, LLC - Four Companies. One Vision. C2P Enterprises is a holding company of three distinct brands that simplify financial planning for advisors and the clients they serve. The companies combine to offer education, training, resources, tools and an array of investment and insurance vehicles to meet each client’s unique financial situation and goals. They are committed to best interest practices and raising industry standards for a higher quality of holistic financial planning services to family’s nation-and world-wide.
