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Compliance Analyst

Location: Denver or Suburban Maryland/Washington, D.C. areas
Reports to: Chief Compliance Officer (CCO)
Experience Required: 3+ years of relevant compliance experience within an RIA or regulatory body
Remote: In Office with occasional remote work when necessary
Job Type: Full-time Salary Range: $115,000 – 140,000 per year

Overview:
We are a dynamic and growing independent Registered Investment Advisor (RIA) firm seeking an experienced Compliance Analyst to join our thriving team. This individual will enhance key aspects of our compliance program.

This role is ideal for a compliance professional with deep familiarity with the SEC marketing rule and a strong grasp of how it applies to the evolving needs of a high-touch wealth advisory business. This individual flourishes in a challenging, fast-paced and professional environment.

Key Responsibilities:

  • Review marketing materials, social media, and client communications for regulatory compliance.
  • Execute daily, monthly, and quarterly compliance testing (e.g., advertising/marketing reviews, personal trading reviews, email surveillance).
  • Monitor regulatory developments.
  • Support ad hoc projects as needed by the CCO or executive team.

Qualifications:

  • Bachelor’s degree required.
  • Minimum 3 years of compliance experience in an RIA, broker-dealer, or related financial services firm.
  • Strong knowledge of the Investment Advisers Act of 1940 and SEC regulations.
  • Strong organizational skills, process improvement orientation, attention to detail, and ability to manage multiple priorities.
  • Strong communication skills and discretion in handling confidential information.
  • Excellent judgment, analytical, and interpersonal skills.
  • Ability to work independently and collaboratively across departments.
  • Proficiency with compliance and workflow tools are preferred.

To apply, email a cover letter and resume to [email protected].

AlphaCore is an SEC registered investment advisor and required to track certain political contributions under rule 206(4)-5. Therefore, you will be required to disclose your prior political contributions.

AlphaCore is an Affirmative Action/Equal Opportunity Employer committed to providing employment opportunity without regard to an individual’s race, color, religion, age, gender, gender identity, sexual orientation, national origin, ancestry, marital status, medical condition, genetic information, veteran status or disability.

For more information about the company, please refer to our website at www.alphacore.com.

Personnel/Applicant Privacy Notice

AlphaCore is committed to safeguarding the privacy of our personnel and job applicants. AlphaCore does not “sell” (as that term is defined in the CCPA) your personal information. Please see our Privacy Policy for details.

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