Are you looking to accelerate your career without having to hide your authentic self - a place where you can be you? A career that’s making a bigger impact on the world? At OneDigital, we are on a mission to help people do their best work and live their best lives. From the services we offer to the way we show up for each other each day, we are fueling dreams, achieving big goals, and embracing each other’s truest selves.
We understand that pursuing a new job is a big deal. Maybe you’re afraid you won’t fit in. Well, here’s the good news. For us, the days of “fit in to get in” are over and being different is not a barrier to getting ahead. Greatness comes in all shapes, sizes, colors, and experience levels. If you are looking for a people-first culture that is wired for growth, driven to serve, and totally committed to having your back, give us a shot. Your best life awaits.
Our Newest Opportunity:
OneDigital Investment Advisors is seeking an experienced Compliance Analyst to perform investment compliance surveillance, testing and reporting. The Compliance Analyst - Investments is responsible for the performance of a broad range of activities necessary to effectively fulfill the firm’s compliance oversight obligations with respect to its investment activities.
This position may be located in Overland Park, Kansas or Remote.
Essential Duties and Responsibilities:
Under the direction of the Senior Director of Compliance, maintain the firm’s investments surveillance and testing program (“Program”), including any technology systems that are a component of such Program.
Monitor the efficiency and accuracy of the Program and, where appropriate, recommend enhancements or changes to the Program.
Perform ongoing surveillance, testing and analysis of the firm’s trading activity in order to detect (i) potential violations of (a) the firm’s compliance policies and procedures and/or (b) restrictions, limitations or policies imposed by (1) clients and/or (2) the firm’s Investment Committee and/or (ii) previously unidentified material risks to the firm. Based on such findings, work with appropriate stakeholders to correct any confirmed violations and make recommendations to the Investment Committee or Chief Compliance Officer on changes to investment policy or the firm’s compliance policies and procedures, respectively.
Prepare reporting for the Chief Compliance Officer, the Investment Committee and/or the firm’s Senior Leadership Team with respect to the status and effectiveness of the Program and the firm’s compliance with its policies and procedures regarding investments.
Assist with required annual testing of the firm’s compliance policies and procedures relating to investments, as requested.
Develop and maintain good working relationships with internal and external verticals and partners (investment management, trading, operations, IT, technology, etc.) and serve as a Compliance liaison with members of the firm’s Investment Committee.
Assist in responding to regulatory inquiries/examinations.
Stay current on relevant regulations, industry best practices, and testing methodologies.
Perform other assignments and/or duties as may be assigned.
Qualifications, Skills and Requirements:
Have a good understanding of various security types, including, but not limited to, equities, bonds, options, mutual funds, exchange traded funds, structured notes, variable annuities, and private placements as well as how they are utilized in various investment strategies and financial plans.
Have a good understanding of prohibited or restricted activities relating to investments under both the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA).
Have a strong understanding of fiduciary governance principles.
Be able to interpret the impact of new laws on the firm’s investment strategies and/or use of investments.
Be self-motivated with excellent time and project management skills, including the ability to adjust priorities in response to unanticipated events and to balance team/individual responsibilities. Perform work accurately and completely.
Responds well to managerial direction, exhibits objectivity/openness to new ideas, and welcomes feedback.
Have strong communication skills (verbal/written), including the ability to clearly and concisely articulate and present ideas, opinions, and information.
Have a high attention to detail, strong problem-solving skills, and a high level of integrity.
Be able to handle business-sensitive/confidential information in a discrete manner.
Have a high level of proficiency with the Microsoft Office Suite (Word/Excel/Access/etc.).
Be able to manipulate raw data in order to effectively analyze investments and trading activity.
Be able to adapt to a rapidly changing business and technology environment.
Have a continual learner mentality.
Education, Training and Experience:
Undergraduate degree in business, finance, economics, accounting, or other related field.
5 or more years of experience with a financial services firm in the Investments, Trading, Operations, or Compliance Departments or as a practicing Investment Adviser Representative or with the SEC or FINRA as a compliance examiner.
Previous experience with investment data analysis and reporting, compliance software systems and/or portfolio compliance systems preferred.
The typical base pay range for this role nationwide is $85,000 to $95,000 per year. Your base pay is dependent upon your skills, education, qualifications, professional experience, and location. In addition to base pay, some roles are eligible for variable compensation, commission, and/or annual bonus based on your individual performance and/or the company’s performance. We also offer eligible employees health, wellbeing, retirement, and other financial benefits, paid time off, overtime pay for non-exempt employees, and robust learning and development programs. You will receive reimbursement of job-related expenses per the company policy and may receive employee perks and discounts.
To learn more, visit: www.onedigital.com/careers
OneDigital is an equal opportunity employer. Not only as a matter of standard, but to honor and celebrate our differences. We believe that the power of ONE starts with you. We are committed to cultivating and preserving a culture that celebrates diversity, insists on equity and inclusion, and connects us. Ensuring our people feel seen, valued, respected, and supported is fundamental to our core values and business goals.
OneDigital provides equal employment opportunities to all employees and applicants for employment regardless of their: veteran status, uniformed servicemember status, race, color, religion, sex, sexual orientation, gender identity, age (40 and over), pregnancy (including childbirth, lactation and related medical conditions), national origin or ancestry, citizenship or immigration status, physical or mental disability, genetic information (including testing and characteristics) or any other category protected by federal, state or local law (collectively, “protected characteristics”). A copy of the Federal EEO poster is linked here.
Pursuant to local Fair Chance Ordinances, we will consider qualified applications with arrest or conviction records for employment. For applicable candidates, the following ordinances are linked here to inform you of your rights as an applicant:
City and County of San Francsico
Employment decisions shall comply with all other applicable federal, state and city/county laws prohibiting discrimination in employment. OneDigital complies with all criminal history inquiry [or ‘ban the box’] laws in California, Connecticut, Colorado, Hawaii, Illinois, Maine, Maryland, Massachusetts, Minnesota, New Jersey, New Mexico, Oregon, Rhode Island, Vermont and Washington.
In short, we believe in hiring the most qualified applicant for the position, regardless of background.
If you have questions about our hiring policies and practices, we would be happy to discuss upon receiving your application. We hope to welcome you to OneDigital and look forward to hearing from you.
Thank you for your interest in joining the OneDigital team!
Oberstaff
Workiy Inc.
First Advantage
WatchGuard Technologies
TÜV SÜD
