RIA Compliance Analyst

Overview

Alera Group is looking for a RIA Compliance Analyst. We are seeking highly motivated colleagues who bring experience and enthusiasm to our team – joining us may be the perfect fit for you!

Alera Group was founded in 2017 and has grown to become the 15th largest broker of US business. We are passionate about our clients’ success in the areas of Employee Benefits, Property and Casualty Insurance, Retirement Plan Services, and Wealth Services. With a network of offices nationwide, our commitment to collaboration allows us to offer national resources combined with local service.

The Compliance Analyst will primarily be responsible for ongoing management and oversight of the Code of Ethics, Licensing and Registration management, and ongoing Advertising and Marketing Reviews for all affiliated investment adviser firms under Alera Group. This position will also provide additional compliance support related to Policy and Procedures, Compliance Training, and other ad hoc tasks as assigned. This position will support Alera’s compliance efforts by assisting the management of the firm and its advisors in understanding their compliance duties while also providing support through collaboration and effective execution of the responsibilities of the role. The ideal candidate will have a strong understanding of the Investment Advisers Act and have experience working with a registered investment adviser.

Responsibilities

• Administer Alera’s Code of Ethics process in compliance with the Investment Advisers Act rule 204A-1 while ensuring consistency in policies, procedures, and best practices across each of the Alera Group affiliated investment adviser firms.
• Manage and maintain the licensing and registration process for Alera Groups’ affiliated investment adviser firms and their Advisors, ensuring compliance with federal and state regulatory requirements.
• Conduct reviews of marketing materials to ensure compliance with the SEC’s Marketing Rule.
• Lead Alera’s efforts in the development and maintenance of compliance policies and procedures related to Code of Ethics Management, Licensing, and Registration.
• Assist in training and provide support to internal teams on compliance-related topics and best practices in areas of focus.
• Partner with compliance leadership and Alera personnel to assist in the completion of a broad array of compliance tasks.
• Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
• Provide exceptional service to your clients – the advisors of Alera Group.
  
  

Qualifications

• 2+ years of securities industry experience within organizations providing investment advisory services to retail and institutional clients
• Intermediate knowledge of the Investment Advisers Act
• Knowledge and experience working within the FINRA CRD Firm Gateway
• A four (4) year college degree or equivalent experience is required; securities industry licenses are a plus
• Superior customer service skills in support of the mission of Alera Group
• Strong analytical, problem-solving, and organization skills
  
  

Benefits

Alera Group offers comprehensive benefits to our colleagues, including medical, dental, life and disability insurance, 401k, generous paid time off and much more.

Salary range is $60K to 90K per year.

We're an equal opportunity employer. All applicants will be considered for employment without attention to race, color, religion, sex, sexual orientation, gender identity, national origin, veteran or disability status, or any other protected class.

If you're a California resident, please read the California Consumer Privacy Act prior to applying.

 

 

1