Compliance Analyst

DC Advisory seeks an analyst to work alongside the Firm’s legal and compliance teams. This position offers the opportunity for broad exposure to a variety of compliance and regulatory workstreams and the chance to be part of larger strategic discussions around the Firm’s compliance processes on a forward-looking basis. The role will play an important part in helping prevent and detect violations of applicable laws, rules, regulatory requirements and Firm policies and is a key part of the Firm’s focus on promoting a high standard of ethics, professionalism and accountability internally. Some of the key workstreams would include:

• Providing guidance to the business units when issues arise on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, Gifts/Entertainment, etc.
• Preparing and submitting regulatory filings with FINRA (such as Form U4s and U5s) and assisting with regulatory examinations, inquiries, investigations and projects in tandem with the legal team, as necessary.
• Reviewing and approving employee compliance-related requests in the internal compliance system (e.g. gifts/entertainment, political contributions, and private investments).

• Managing key elements of the personal trading program, including account disclosures, pre-approval requests and reconciliations.

• Supporting employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
• Supporting compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.

• Please note this position will operate in a hybrid capacity with four days on-site in our office (Monday - Thursday) with the option to work from home on Fridays.