Compliance Analyst - WM

RSM US LLP - Charlotte, NC3.7

Full-timeEstimated: $79,000 - $110,000 a year
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The RSM US Wealth Management LLC (“WM”) Compliance Analyst is responsible for supporting the regulatory compliance function of WM, an SEC-registered investment adviser. The Wealth Management Compliance Analyst assists with the development, implementation and maintenance of policies and procedures designed to mitigate the risk of Wealth Management violating legal, regulatory or firm requirements. Working directly with the Wealth Management compliance team, the WM Compliance Analyst monitors entity and employee compliance with established policies and procedures and follows up on any deficiencies identified to ensure timely resolution.

Responsibilities:
Assist with the development, implementation, and maintenance of policies and procedures reasonably designed to comply with rules, regulations and firm requirements, including an assessment of new rules and incorporating them into the compliance program.

Assist with the annual review and testing requirements under SEC Rule 206(4)-7, including on-going reviews of personal trading, trade blotters, electronic communications, social media, books and records, etc.

Support the development and implementation of new technology adopted by WM to ensure compliance is built into the use of these systems.

Assist with any regulatory examinations or inquiries.

Assist with annual compliance meeting, new hire onboarding, and other compliance training initiatives, including responding to various questions that arise from wealth advisors on a daily basis.

Required Qualifications:
Bachelor’s degree

Required: 3-5 years of compliance management experience

Strong Microsoft Office skills, strong written and oral communication skills

Effective organizational and managerial skills

Preferred Qualifications:
CPA, CFP, or other professional designation in the accounting or financial services industry

3-5 years of compliance experience with an SEC registered investment adviser

Experience using Black Diamond Portfolio Accounting System, eMoney, Schwab Compliance Technology (SCT), & Smarsh

You want your next step to be the right one. You've worked hard to get where you are today. And now you're ready to use your unique skills, talents and personality to achieve great things. RSM is a place where you are valued as an individual, mentored as a future leader, and recognized for your accomplishments and potential. Working directly with clients, key decision makers and business owners across various industries and geographies, you'll move quickly along the learning curve and our clients will benefit from your fresh perspective.

Experience RSM US. Experience the power of being understood.

RSM is an equal opportunity/affirmative action employer. Minorities/Females/Disabled/Veterans.