Job Description

The Compliance Analyst will play a critical role in ensuring that the Registered Investment Advisor (RIA) firm operates in full compliance with regulatory requirements across its multi-state locations in the U.S. This position involves monitoring, analyzing, and enforcing compliance policies and procedures, providing expertise to maintain the firm’s adherence to SEC, state regulations, and industry best practices.

Key Responsibilities

• Conduct regular internal compliance audits to ensure adherence to SEC and state regulations; document findings and recommend corrective actions.
• Prepare, file, and maintain key regulatory reports such as Form ADV, U4/U5, and various state-specific filings.
• Maintain, update, and enhance firm-wide compliance policies and procedures in alignment with current laws and industry best practices.
• Monitor regulatory changes, analyze their impact, and recommend appropriate internal policy adjustments.
• Lead and assist in compliance training efforts across the firm to promote awareness and adherence to regulatory standards.
• Investigate compliance concerns and escalate critical issues to the Chief Compliance & Legal Officer or Responsible Executive.
• Oversee Code of Ethics monitoring, including personal securities transaction reviews and employee attestations.

Qualifications & Requirements

• 5+ years of compliance experience within an RIA or comparable financial services firm.
• Deep knowledge of SEC and state-level regulatory frameworks, with hands-on experience managing Form ADV and related filings.
• Demonstrated ability to manage multiple projects, meet tight deadlines, and navigate ambiguous or evolving compliance environments.
• Proven track record of initiating and implementing effective compliance processes and solutions.
• Strong proficiency in Microsoft Excel and comfort working with compliance technology platforms.
• Excellent verbal and written communication skills, with the ability to clearly convey compliance requirements to non-technical audiences.
• Self-starter with a high level of integrity, judgment, and accountability.
• Bachelor's degree preferred.
• Series 65 or 66 strongly preferred.

This is a high-impact role for a compliance professional ready to bring structure, insight, and leadership to a growing firm.

About Pinnacle

The Pinnacle Groups work hard to pair top talent with great companies. We truly care about your success and your future, which is why we take the time to truly get to know both the employer and employee to make sure it’s a good match. We’re not just filling a seat, we’re building futures. Our service separates us from other staffing firms and has landed us on the Inc. 5000 fastest growing companies list. We currently build futures in Kansas City, Topeka, Wichita, Des Moines, Denver, Omaha, Dallas-Fort Worth, Phoenix, Tucson, Orlando, Jackson, MS and Las Vegas markets.

EOE: Pinnacle provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Job Tags

Similar Jobs