NFP, an Aon company, is a recognized leader in Business Insurance, helping clients manage significant risks and retirement challenges. They are looking for a full-time Compliance Analyst to support their compliance team, focusing on compliance testing, regulatory filings, and employee onboarding while collaborating with various stakeholders.
Develop and update compliance policies in response to regulatory changes
Manage new employee compliance onboarding, including Code of Ethics, compliance training, and onboarding employees to our Compliance Onboarding Platform
Conduct compliance training and periodic testing
Support monitoring and testing
Assist with SEC regulatory filings, including Form ADV updates, U4s, etc
Assist with building / enhancing foundational compliance functions, including Complaint Management, Marketing Review, Audits, and Examinations
Collaborate across divisions and stakeholders to be seen as a trusted problem solver and adviser
Qualification
Required
Minimum of a bachelor’s degree in finance, economics, or other related discipline
Experience and interest in execution (doing) and strategy (building)
1-2 years of industry or compliance experience a plus
Interest in, or familiarity with, the retirement consulting and wealth management businesses and investment concepts
Logical judgment, detail-oriented, and ability to prioritize multiple tasks simultaneously
Analytical mindset with a strong attention to detail
High energy and highly self-motivated with the ability to thrive in an entrepreneurial environment
Ability to work collaboratively with multiple levels within the organization
Proficiency in Microsoft applications
Preferred
Familiarity with RIA compliance requirements under the Investment Advisers Act of 1940 a plus
Benefits
PTO & paid holidays
401(k) with match
Exclusive discount programs
Health & wellness programs
NFP, an Aon company, helps organizations and people solve problems.
