Compliance Analyst

A bit about us

Frontier Asset Management is a fee-only advisory practice with two advisors, a paraplanner and an office manager. Most staff have been with the firm for more than eight years.

About the role

Frontier Asset Management has an opening for a Compliance Analyst. We want someone thorough who documents everything and is comfortable telling a business line no. Remote, open to candidates across the US. Clear written English is a must, as the team works across time zones.

Duties

• Monitor compliance with BSA/AML, OFAC and consumer rules such as Reg E, Reg Z and TRID
• Write and update compliance policies and procedures
• Train employees on annual compliance topics and new rules
• Track regulatory changes and assess their effect on products and processes
• Report compliance metrics to the compliance committee and board
• Coordinate regulatory exams and audit requests, and follow findings to closure
• Review suspicious activity alerts and prepare SAR filings within deadlines
• Vet new products, marketing materials and disclosures before launch

Requirements

• 1-2 years of compliance, audit or risk experience in banking or financial services
• Sound judgment and the confidence to escalate
• Bachelor's degree in business, finance or a related field
• Organized, with a careful approach to documentation
• Strong writing for policies, findings and board reports
• Comfortable training groups and presenting to committees

Pay and benefits

Salary range: $75,000-$87,000/year

• Medical, dental and vision insurance
• 401(k) with 4% match
• Paid holidays
• Gym membership reimbursement
• Home office stipend
• Professional development budget

We review applications on a rolling basis.

Start: Immediately.

Demo job created on 11jobs for testing and demonstrations. It is not an actual opening at Frontier Asset Management, LLC.