Compliance Analyst

OneDigital

Compliance Analyst overseeing compliance and registration for investment advisers in financial services industry. Conducting due diligence and monitoring compliance policies and procedures.

Posted 6/16/2026full-timeRemote • Kansas • 🇺🇸 United StatesJuniorMid-Level💰 $60,000 - $70,000 per yearWebsite

About the role

Key responsibilities & impact

perform onboarding due diligence for Registered Investment Advisors
monitor compliance program efficiency and accuracy
perform ongoing monitoring and analysis of the firm's investment adviser representatives
assist with annual testing of compliance policies and procedures
prepare and submit license registrations to regulatory agencies
maintain ADV 2B documents
monitor reportable Outside Business Activities for potential conflicts of interest
assist with communication of continuing education requirements
conduct research of state and federal statutes

Requirements

What you’ll need

good understanding of regulatory requirements for Registered Investment Advisors
ability to interpret new rules and communicate guidelines clearly
self-motivated with excellent time and project management skills
strong communication skills (verbal/written)
high attention to detail and strong problem-solving skills
previous experience with FINRA regulatory filing system preferred
ability to adapt to a rapidly changing business and technology environment
undergraduate degree in business, finance, economics, accounting, or related field
2+ years of experience in financial services; experience in investment advisor compliance considered a plus

Benefits

Comp & perks

health, wellbeing, retirement, and other financial benefits
paid time off
overtime pay for non-exempt employees
robust learning and development programs
reimbursement of job-related expenses
employee perks and discounts

ATS Keywords

✓ Tailor your resume

Applicant Tracking System Keywords

Tip: use these terms in your resume and cover letter to boost ATS matches.

Hard Skills & Tools

compliance program monitoringinvestment adviser representative analysiscompliance policy testinglicense registration preparationADV 2B document maintenancereportable Outside Business Activities monitoringregulatory requirements interpretationFINRA regulatory filing system

Soft Skills

time managementproject managementcommunication skillsattention to detailproblem-solvingself-motivationadaptability