Who We Are:
NFP, an Aon company, is a multiple Best Places to Work award winner in Business Insurance. We are an organization of consultative advisors and problem solvers. We help companies and individuals around the globe address their most significant risk, workforce, wealth management and retirement challenges through custom solutions and a people-first approach. To learn more, please visit: https://www.NFP.com
Summary of the Role: NFP Retirement is seeking to hire a full-time Compliance Analyst to join its compliance team. As a member of the firm’s compliance team, the Compliance Analyst will support the Chief Compliance Officer and the implementation of the firm’s compliance program. The position offers diversified experience across all functional areas of an investment advisory firm and interaction with a broad range of internal and external stakeholders. The Compliance Analyst will contribute to many aspects of the compliance team’s responsibilities, including compliance testing projects, implementation of the firm’s code of ethics, preparation of regulatory filings, review of marketing and client meeting materials, and firm training.
We are seeking candidates who are well organized, energetic, and team-oriented. The right candidate is a self-starter with a strong work ethic who has excellent communication skills and attention to detail. This person must be willing to provide the highest level of client service, professionalism, and confidentiality. Furthermore, this person must be able to efficiently prioritize tasks and consistently meet deadlines. The ideal candidate is adaptable in playing the role of a builder, doer, and subject matter expert and will be responsible for establishing, executing, and owning key processes while thinking strategically to keep our compliance program nimble and effective in managing risks.
Essential Duties, and Responsibilities:
- 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
Knowledge, Skills, and/or Abilities:
- Interest in, or familiarity with, the retirement consulting and wealth management businesses and investment concepts
