Senior Compliance Analyst
- - Compliance & Risk Management
- Carmel, IN, USA
- Full Time
Oxford Financial Group, Ltd.™ is the premier multi-family office in the Midwest and has been named the #1 Registered Investment Advisor (RIA) by Financial Planning magazine for each of the last five years (based upon assets under management). One of the largest independent RIA firms in the country with oversight of approximately $23.5 billion in assets under advisement (which includes assets under management), Oxford has 21 Managing Directors in five market offices who serve over 700 family and institutional clients in 37 states. Oxford is an independent, fee-only firm that is privately held by its partners and has provided multi-generational estate planning advice and forward-thinking investment solutions to families and institutions for more than 36 years. With special expertise in Aspirational Solutions and Niche Growth Strategies, Oxford specializes in addressing the needs of eight and nine figure clients
The Senior Compliance Analyst's legal background will be instrumental in supporting the Compliance and Trust departments in handling special projects for both teams as well as, analyzing documents.
Duties and Responsibilities:
Compliance and Legal Affairs
- Supports routine audits, regulatory filings, exams, internal procedures, SEC, DFI, DOL and state requirements
- Maintains records of all contracts and other legal obligations, including renewals, deadlines and other requirements
- Conducts vendor due diligence, tracking requests, obtaining & reviewing requested documentation
- Researches SEC and other regulatory agency rules and regulations in order to incorporate new requirements into policies and procedures
- Conducts monitoring of management's ongoing responsibilities to revise policies and procedures
- Processes new account openings or closings, and account maintenance
- Assists with processing deposits and disbursements
- Assists with account review preparation
- Reviews trust documents for synopsis of primary provisions
- Implements action items for regulatory exam and internal audit results
- Implements enhancements to account management system
- Legal degree or certification is required (JD or paralegal).
- Five years experience in related field; preferably financial services, trust or legal.
- Experience with business analytics tools preferred (e.g. Power BI or Tableau).
- Must be detail oriented with excellent organizational skills.
- Candidates must have strong critical thinking/analytical skills.
- Excellence in Microsoft Suite required.
- Must have a professional demeanor with strict observation of confidential matters.
- Must have ability to be flexible in a high stress, fast paced environment.