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Sr. Data Analyst, Investment Advisory (Remote)

Advisor Group locationCharlotte, NC
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48 positions
48 positions
info linkReport a probelm Originally Posted : October 08, 2021 | Expires : November 7, 2021


Job Location
Charlotte, NC, United States


IA Compliance Surveillance & Testing Opportunity in Financial Services

Sr. Data Analyst, Investment Advisory

Location: Considering candidates in all locations & remote


The Sr. Data Analyst works within the Investment Advisory compliance department supporting the IA Compliance Officer. The Sr. Data Analyst role requires a data-minded individual who has experience in writing complex reports and is familiar with the financial services industry, especially as it relates to Investment Advisory compliance regulations.


  • Forensic Testing - Develop ad hoc reports to support forensic testing efforts as part of the annual review required by SEC rule 206(4)-7. Forensic testing will be used to test for previously unidentified issues by:
    • Gaining additional insight from data, other information or evidence evaluated in new ways from current information sources, and in additional ways from new information sources
    • Determining whether currently undiscovered circumstances are in fact, present
    • Exploring uncertainties
    • Acting on one's instincts and with skepticism, as in asking questions of "what if," "what about," or "how do we know"
  • Quality Assurance - As an extension of forensic testing, perform quality assurance on integrity of data provided by IT directly to IA Compliance, or operational functions where IA Compliance has oversight.
  • Support Regulatory Inquiries - Provide support to the regulatory affairs team on regulatory data requests for RIA entities.
  • Assists with special projects, including creating compliance reports based upon deficiencies and / or recommendations from regulatory inquiries.
  • Perform Monitoring & Surveillance over business processes and controls
  • All other duties as assigned.

Education Requirements:

  • Bachelor's degree from a four-year college or university preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.

Basic Requirements:

  • Two to five years of relevant work experience with a financial institution such as a broker/dealer, registered investment adviser, regulatory agency, or other financial institution.
  • Proficiency in MS SQL Server and Excel is required
  • Strong written and verbal communication skills
  • Ability to operate effectively as part of a project team or individually

Preferred Requirements:

  • Experience in VBA and Python a plus
  • FINRA Series 7 preferred

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