Join our Team

Compliance Analyst

The Company:

Merit is a fast-growing, pioneering financial services firm that invests heavily in the growth and development of team members.  Merit seeks to establish, educate, and help individuals reach their financial goals as they transition into and experience retirement. With an unswerving commitment to excellence and reliability, Merit provides objective financial advice and believes in establishing long-lasting relationships. By offering an array of services, clients can receive tailored solutions that promote growth and help them achieve financial goals.

Merit believes in addressing the retirement challenges in America by helping clients reach financial freedom and confidence to the working population and retirees alike. This focus on comprehensive financial wellness enables us to deliver the ultimate client experience.

With nine locations across the southeast and northeast, headquartered in Alpharetta, GA, Merit balances tactical advice with innovative strategy. Our 80 hardworking employees are leaders rooted in humility and we are poised to grow.  Merit is a multi-generational firm with a foundation built around servant leadership and total team leadership.  We have been recognized as a “Best Places to Work” by InvestmentNews and have made the fastest-growing companies list in both INC 5000 and Georgia’s Fastest 40.   As we expand and work to bring our relationship-driven approach to the financial industry, we are looking for the right individuals to join our team.

The Position:

The key role of the Compliance Analyst is to help mitigate risk for the firm by testing company policies, procedures, and the overall compliance program. Serving as an integral member of the compliance team, this person will also be responsible for keeping up with regulatory policy changes. This person should possess and have the ability to apply a broad range of knowledge, concepts, and principles, especially in accordance with the Investment Advisers Act of 1940.

Responsibilities:

  • Maintain the firm-wide culture of compliance by monitoring and enforcing all policies and procedures related to regulatory compliance and employee code of ethics.
  • Ensure that all policies and procedures comply with applicable laws, regulations, industry guidance, and best practices.
  • Identify potential areas of compliance vulnerability and risk; develop corrective action plans and provide actionable insight on risk avoidance.
  • Review and approve advertising, sales literature, educational materials, and correspondence for compliance with applicable governmental and self-regulatory bodies.
  • Review and test current policies and procedures; identify, recommend, and implement new and/or enhanced practices.
  • Perform surveillance functions to ensure compliance with SEC regulations.
  • Analyze processes and services and provide ongoing guidance to ensure compliance with regulatory requirements.
  • Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandatory product training.
  • Update and maintain complete and accurate policies, procedures, compliance logs and/or files.

Requirements:

  • Bachelor’s degree in business-related area of study.
  • Minimum of 2 years of recent compliance experience with a Registered Investment Adviser or Broker-Dealer firm.
  • Active FINRA Series 65 or Series 66 license preferred.
  • Acute attention to detail and ability to produce error-free work.
  • Strong ethical background.
  • Ability to multi-task in a fast-paced environment.
  • Thorough knowledge of SEC, FINRA, specifically the Investment Advisers Act of 1940, and state securities rules, regulations, issues and concerns.
  • Excellent written and verbal communication skills.
  • Strong organizational, time management, and critical thinking abilities.

Benefits:

  • Medical Insurance
  • Dental/Vision Insurance
  • Life & Personal Accident Insurance
  • Short-term Disability Insurance
  • Long-term Disability Insurance
  • Flexible Spending Account (FSA), Health Savings Account (HSA) or Dependent Care FSA
  • 401(k) Plan with company matching.
  • Paid Time Off (PTO) and paid holidays

Compliance Analyst