Compliance Analyst

Benefits

Parental leave

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Non-birth-parent leave

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Family-building benefits

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Mental health support

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Relocation assistance

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Childcare support

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Learning budget

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Verification

Not verified last checked Jun 13, 2026

Salary

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401(k) match

Listed Source: EMPLR_CONTRIB_INCOME_AMT. source Last checked Jun 13, 2026.

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Schedule

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Weekend work

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Application

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Assessment

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Deadline

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Where they hire

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About this role

Compliance Analyst Cleveland, OH, United States #LI-AE1 #LI-Hybrid Essential Functions and Primary Duties Regulatory Compliance (Broker-Dealer & RIA) Assess, develop, implement, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations. Conduct and own ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues. Help lead the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions. Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders. Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives. Corporate Compliance Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements. Help lead the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units. Support and enforce the codes of ethics, conflicts of interest processes, investigations, and whistleblower programs. Participate in enterprise risk management (ERM) and compliance risk assessments. Assist in the development, maintenance, testing, and documentation of internal controls related to compliance and corporate governance. Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials. Assist and develop policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures. Skills & Continuous Improvement Demonstrated strategic problem-solving skills, including the design, implementation, and execution

Read the full description at ebez.fa.us2.oraclecloud.com. FewerJobs shows a source-linked preview and links to the original posting.