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About the Role
DC Advisory seeks an analyst to support legal and compliance teams, offering broad exposure to compliance and regulatory workstreams. This role is crucial for preventing and detecting violations of laws and policies, promoting ethics, professionalism, and accountability.
Responsibilities
- Provide guidance to business units on policies related to the Compliance Manual, Code of Ethics, Restricted List, Anti-Money Laundering/Know Your Customer policies, Outside Business Activities, and Gifts/Entertainment.
- Prepare and submit regulatory filings with FINRA (e.g., Form U4s and U5s).
- Assist with regulatory examinations, inquiries, investigations, and projects in conjunction with the legal team.
- Review and approve employee compliance-related requests in the internal compliance system (e.g., gifts/entertainment, political contributions, private investments).
- Manage key elements of the personal trading program, including account disclosures, pre-approval requests, and reconciliations.
- Support employee onboarding, certifications, disclosures, training requirements, and compliance-related offboarding procedures.
- Support compliance projects, workflow enhancements, and operational improvements across compliance systems and procedures.
Requirements
- Bachelor's degree required.
- At least two (2) years of experience in a compliance position.
- Strong interest in acting in a compliance role within the highly regulated financial services industry.
- Sound judgment, discretion, and a strong commitment to confidentiality and professionalism.
- Personal integrity, initiative, and leadership qualities.
- Strong multi-tasking and time management skills.
- An unwavering commitment to excellence and a high degree of maturity.
- A high level of initiative, motivation, attention to detail, positive attitude, and the ability to excel in a fast-paced, entrepreneurial, high-performance work environment.
- An outstanding academic record.
- Ability to work as part of a team in an environment that demands excellence, time, and energy.
- Strong quantitative, verbal, and written communication skills.
- Familiarity with the financial services industry is a plus.
- Highly proficient with Microsoft Office suite.
Skills
- Compliance Manual
- Code of Ethics
- Restricted List
- Anti-Money Laundering
- Know Your Customer
- Outside Business Activities
- Gifts/Entertainment
- FINRA filings (Form U4s, U5s)
- Regulatory examinations
- Regulatory inquiries
- Regulatory investigations
- Personal trading program management
- Employee onboarding
- Employee certifications
- Employee disclosures
- Employee training
- Compliance systems
- Compliance procedures
- Microsoft Office suite
Location
- On-site
Work Type
- Hybrid
Experience Level
- Mid-Level
Education Level
- Bachelor's degree
Salary/Compensations
- $80,000 - $100,000 + annual discretionary bonus
Benefits
- Medical / Dental / Vision Insurance
- Long Term Disability, Short Term Disability, Life Insurance
- Pet Insurance
- Health Savings Account
- Retirement Plans (401K)
- Pre-Tax Commuter Benefits