Investment Compliance Analyst

STRATOS

Investment Compliance Analyst supporting Stratos Wealth Partners’ Broker-Dealer and RIA services. Strengthening policies, testing compliance controls, and resolving regulatory issues.

Posted 8/5/2026full-timeBeachwood • Ohio • 🇺🇸 United StatesMid-LevelSenior💰 $70,000 - $80,000 per yearWebsite

Core Competencies

Role fit

Core Competencies

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Demonstrates expertise in Compliance Program management, including policy development and compliance testing. Proficient in communicating compliance requirements and collaborating effectively within a team environment.

Highest-signal resume keywords

Bachelor's DegreeFINRA SIE CertificationSeries 7 CertificationSeries 24 CertificationSeries 65/66 Certification

ATS Keywords

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Applicant Tracking System Keywords

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Hard Skills

Compliance Program ManagementPolicy DevelopmentCompliance TestingData OrganizationTechnology Proficiency

Soft Skills

Effective CommunicationAttention to DetailCollaborative MentalityTeam OrientationAdaptability

Tools & Technologies

Compliance Software

Certifications & Qualifications

FINRA SIESeries 7Series 24Series 65Series 66

Industry Keywords

Investment AdvisoryCompliance InitiativesBusiness ContinuityPrivacy PolicyAcceptable Use Policies

About the role

Key responsibilities & impact

Provide support to the overall Compliance Program
Strengthen policies including WISP, privacy policy reviews, business continuity, and acceptable use policies
Support new compliance initiatives with Compliance Directors
Support the Compliance Testing Program, resolve identified issues, and undertake remedial projects
Use Compliance Software to manage components of the Compliance Program
Develop and document updated policies and procedures as new laws, rules, and best practices develop
Suggest and implement improvements to the Stratos Compliance Program in collaboration with team members and management
Respond to Compliance inquiries from investment advisory representatives and Stratos departmental team members
Perform additional projects and tasks supporting the Stratos Compliance program as assigned

Requirements

What you’ll need

Bachelor’s degree
FINRA SIE, Series 7, 24 and 65/66
3–5 years’ experience with an investment advisory firm
Ability to communicate compliance requirements effectively to investment advisory representatives
Minimal travel required
Attention to detail and data organization
Proficient with technology
Effective written and verbal communication skills
Ability to work in a fast-paced, changing environment
Collaborative mentality and strong team orientation

Benefits

Comp & perks

Room to develop and advance skills
2 remote work days per week