Compliance Analyst

Job Description

Job Description

A dynamic and rapidly growing Registered Investment Advisor (RIA) firm is seeking a Compliance Analyst to help lead and strengthen its compliance program across multi-state operations. This is a strategic opportunity for a detail-oriented and proactive compliance professional to shape and enforce regulatory policies, ensure SEC and state regulatory adherence, and support a culture of integrity and risk management.

The ideal candidate is a seasoned compliance professional who can not only interpret and apply regulations but also build out scalable processes that evolve with the firm’s growth.

Key Responsibilities

• Conduct regular internal compliance audits to ensure adherence to SEC and state regulations; document findings and recommend corrective actions.
• Prepare, file, and maintain key regulatory reports such as Form ADV, U4/U5, and various state-specific filings.
• Maintain, update, and enhance firm-wide compliance policies and procedures in alignment with current laws and industry best practices.
• Monitor regulatory changes, analyze their impact, and recommend appropriate internal policy adjustments.
• Lead and assist in compliance training efforts across the firm to promote awareness and adherence to regulatory standards.
• Investigate compliance concerns and escalate critical issues to the Chief Compliance & Legal Officer or Responsible Executive.
• Oversee Code of Ethics monitoring, including personal securities transaction reviews and employee attestations.
• Develop and formalize compliance workflows and documentation where none currently exist, supporting the firm’s scale and growth.

Qualifications & Requirements

• 5+ years of compliance experience within an RIA or comparable financial services firm.
• Deep knowledge of SEC and state-level regulatory frameworks, with hands-on experience managing Form ADV and related filings.
• Demonstrated ability to manage multiple projects, meet tight deadlines, and navigate ambiguous or evolving compliance environments.
• Proven track record of initiating and implementing effective compliance processes and solutions.
• Strong proficiency in Microsoft Excel and comfort working with compliance technology platforms.
• Excellent verbal and written communication skills, with the ability to clearly convey compliance requirements to non-technical audiences.
• Self-starter with a high level of integrity, judgment, and accountability.
• Bachelor's degree preferred.
• Series 65 or 66 strongly preferred.

This is a high-impact role for a compliance professional ready to bring structure, insight, and leadership to a growing firm. If you're ready to help build a best-in-class compliance program from the ground up, we encourage you to apply.

Company Description

About Pinnacle
The Pinnacle Groups work hard to pair top talent with great companies. We truly care about your success and your future, which is why we take the time to truly get to know both the employer and employee to make sure it’s a good match. We’re not just filling a seat, we’re building futures. Our service separates us from other staffing firms and has landed us on the Inc. 5000 fastest growing companies list. We currently build futures in Kansas City, Topeka, Wichita, Des Moines, Denver, Omaha, Dallas-Fort Worth, Phoenix, Tucson, Orlando, Jackson, MS and Las Vegas markets.

EOE: Pinnacle provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.

Company Description

About Pinnacle\r\nThe Pinnacle Groups work hard to pair top talent with great companies. We truly care about your success and your future, which is why we take the time to truly get to know both the employer and employee to make sure it’s a good match. We’re not just filling a seat, we’re building futures. Our service separates us from other staffing firms and has landed us on the Inc. 5000 fastest growing companies list. We currently build futures in Kansas City, Topeka, Wichita, Des Moines, Denver, Omaha, Dallas-Fort Worth, Phoenix, Tucson, Orlando, Jackson, MS and Las Vegas markets.\r\n\r\nEOE: Pinnacle provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state or local laws.