Compliance Analyst – Retirement (Remote)

Who We Are: 

NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance. We are an organization of consultative advisors and problem solvers. We help companies and individuals around the globe address their most significant risk, workforce, wealth management and retirement challenges through custom solutions and a people-first approach. To learn more, please visit: https://www.NFP.com

Summary of the Role: NFP Retirement is seeking to hire a full-time Compliance Analyst to join its compliance team. As a member of the firm’s compliance team, the Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program. The position offers diversified experience across all functional areas of an investment advisory firm and interaction with a broad range of internal and external stakeholders. The Compliance Analyst will contribute to many aspects of the compliance team’s responsibilities, including compliance testing projects, implementation of the firm’s code of ethics, preparation of regulatory filings, review of marketing and client meeting materials, and firm training. 

We are seeking candidates who are well organized, energetic, and team-oriented. The right candidate is a self-starter with a strong work ethic who has excellent communication skills and attention to detail. This person must be willing to provide the highest level of client service, professionalism, and confidentiality. Furthermore, this person must be able to efficiently prioritize tasks and consistently meet deadlines.  The ideal candidate is adaptable in playing the role of a builder, doer, and subject matter expert and will be responsible for establishing, executing, and owning key processes while thinking strategically to keep our compliance program nimble and effective in managing risks.  

Essential Duties, and Responsibilities:

• Develop and update compliance policies in response to regulatory changes
• Manage new employee compliance onboarding, including Code of Ethics, compliance training, and onboarding employees to our Compliance Onboarding Platform
• Conduct compliance training and periodic testing
• Support monitoring and testing
• Assist with SEC regulatory filings, including Form ADV updates, U4s, etc.
• Assist with building / enhancing foundational compliance functions, including Complaint Management, Marketing Review,  Audits, and Examinations
• Collaborate across divisions and stakeholders to be seen as a trusted problem solver and adviser  

Knowledge, Skills, and/or Abilities:

• Interest in, or familiarity with, the retirement consulting and wealth management businesses and investment concepts
• Logical judgment, detail-oriented, and ability to prioritize multiple tasks simultaneously
• Analytical mindset with a strong attention to detail
• High energy and highly self-motivated with the ability to thrive in an entrepreneurial environment
• Ability to work collaboratively with multiple levels within the organization
• Proficiency in Microsoft applications
• Familiarity with RIA compliance requirements under the Investment Advisers Act of 1940 a plus  

Education and/or Experience:

• Minimum of a bachelor’s degree in finance, economics, or other related discipline
• Experience and interest in execution (doing) and strategy (building)
• 1-2 years of industry or compliance experience a plus.

What We Offer:

We’re proud to offer a competitive salary, PTO & paid holidays, 401(k) with match, exclusive discount programs, health & wellness programs, and more. Our PeopleFirst culture focuses on building and nurturing lifelong relationships with our employees because, at the end of the day, we exist to be there for others. The base salary range for this position is $45,000 to $57,000.  The base salary offered will be determined by factors including, but not limited to, experience, credentials, education, certifications, skill level required for the position, the scope of the position, and geographic location. Actual base salary offered will be determined on a case-by-case basis. In addition to the base salary, this position may be eligible for performance-based incentives. 

NFP and You… Better Together!

NFP is an inclusive Equal Employment Opportunity employer.