Compliance Analyst

Title: Compliance Analyst

Duration: Full-Time/Permanent

Location: Alpharetta, GA (Hybrid- 3 days on-site; First 90 days will be fully onsite, subject to manager’s discretion)

We are seeking a highly motivated Compliance Analyst to join our firm in Alpharetta, Georgia. This role is key to ensuring trading activities comply with securities laws, regulations, and investment guidelines. The successful candidate will develop, monitor, and maintain trade compliance rules in the order management systems and engage with internal and external compliance stakeholders. This position is part of the Compliance Department of our company.

Responsibilities:

• Maintain and monitor pre- and post-trade compliance rules in order management systems.
• Analyse daily trades for compliance with the Investment Company Act of 1940, UCITS, and prospectus limits.
• Flag and escalate suspicious or non-compliant activity.
• Improve compliance rule accuracy and analyse related data and filings.
• Conduct audits to test control effectiveness and maintain compliance records.
• Support new account onboarding and launch calls.
• Collaborate with internal teams and external partners.
• Monitor regulatory changes and help implement updated policies.
• Complete client and third-party compliance questionnaires.
• Perform additional duties as assigned.

Qualifications:

• Experience in ETF/mutual fund trade compliance required; Bloomberg CMGR a plus.
• Detail-oriented with strong organizational and communication skills.
• Self-motivated, proactive, and able to work independently or in a team.
• Proficient in Microsoft Office.
• 1–3 years of relevant experience.
• Bachelor’s degree or equivalent experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

What Do We Offer?

• PTO + 10 paid holidays
• Flexible work benefits
• Daily paid lunch (on-site)
• On-site gym discount
• Medical, Dental, Vision
• EAP & mental health telehealth
• Short/Long Term Disability
• SIMPLE IRA with 3% match

About Us: Established in 2004, SPECTRAFORCE is one of the largest and fastest-growing diversity-owned staffing firms in the US. The growth of our company is a direct result of our global client service delivery model that is powered by our state-of-the-art A.I. proprietary talent acquisition platform, robust ISO 9001:2015/ISO 27001 certified processes, and strong and passionate client engaged teams. We have built our business by providing talent and project-based solutions, including Contingent, Permanent, and Statement of Work (SOW) services to over 140 clients in the US, Canada, Puerto Rico, Costa Rica, and India. Key industries that we service include Technology, Financial Services, Life Sciences, Healthcare, Telecom, Retail, Utilities and Transportation. SPECTRAFORCE is built on a concept of “human connection,” defined by our branding attitude of NEWJOBPHORIA, which is the excitement of bringing joy and freedom to the work lifestyle so our people and clients can reach their highest potential. Learn more at: http://www.spectraforce.com

Benefits: SPECTRAFORCE offers ACA compliant health benefits as well as dental, vision, accident, critical illness, voluntary life, and hospital indemnity insurances to eligible employees. Additional benefits offered to eligible employees include commuter benefits, 401K plan with matching, and a referral bonus program. SPECTRAFORCE provides unpaid leave as well as paid sick leave when required by law.

Equal Opportunity Employer: SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at [email protected] if you require reasonable accommodation.

California Applicant Notice: SPECTRAFORCE is committed to complying with the California Privacy Rights Act (“CPRA”) effective January 1, 2023; and all data privacy laws in the jurisdictions in which it recruits and hires employees. A Notice to California Job Applicants Regarding the Collection of Personal Information can be located on our website. Applicants with disabilities may access this notice in an alternative format by contacting [email protected].

LA County, CA Applicant Notice: If you are selected for this position with SPECTRAFORCE, your offer is contingent upon the satisfactory completion of several requirements, including but not limited to, a criminal background check. We consider qualified applicants with arrest or conviction records for employment in accordance with all local ordinances and state laws, including the Los Angeles County Fair Chance Ordinance for Employers (FCO) and the California Fair Chance Act (FCA). The background check assessment will consider whether a criminal history could reasonably have a direct, adverse impact on the job-related safety, security, trust, regulatory compliance, or suitability for this role. Such findings may result in withdrawal of a conditional job offer.

At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position's starting pay is: $70000.00/yearly.

Title: Compliance Analyst

Duration: Full-Time/Permanent

Location: Alpharetta, GA (Hybrid- 3 days on-site; First 90 days will be fully onsite, subject to manager’s discretion)

We are seeking a highly motivated Compliance Analyst to join our firm in Alpharetta, Georgia. This role is key to ensuring trading activities comply with securities laws, regulations, and investment guidelines. The successful candidate will develop, monitor, and maintain trade compliance rules in the order management systems and engage with internal and external compliance stakeholders. This position is part of the Compliance Department of our company.

Responsibilities:

• Maintain and monitor pre- and post-trade compliance rules in order management systems.
• Analyse daily trades for compliance with the Investment Company Act of 1940, UCITS, and prospectus limits.
• Flag and escalate suspicious or non-compliant activity.
• Improve compliance rule accuracy and analyse related data and filings.
• Conduct audits to test control effectiveness and maintain compliance records.
• Support new account onboarding and launch calls.
• Collaborate with internal teams and external partners.
• Monitor regulatory changes and help implement updated policies.
• Complete client and third-party compliance questionnaires.
• Perform additional duties as assigned.

Qualifications:

• Experience in ETF/mutual fund trade compliance required; Bloomberg CMGR a plus.
• Detail-oriented with strong organizational and communication skills.
• Self-motivated, proactive, and able to work independently or in a team.
• Proficient in Microsoft Office.
• 1–3 years of relevant experience.
• Bachelor’s degree or equivalent experience.
• Commitment to core values: Collaboration, Authenticity, Curiosity, Performance, and Humility.

What Do We Offer?

• PTO + 10 paid holidays
• Flexible work benefits
• Daily paid lunch (on-site)
• On-site gym discount
• Medical, Dental, Vision
• EAP & mental health telehealth
• Short/Long Term Disability
• SIMPLE IRA with 3% match

About Us: Established in 2004, SPECTRAFORCE® is one of the largest and fastest-growing diversity-owned staffing firms in the US. The growth of our company is a direct result of our global client service delivery model that is powered by our state-of-the-art A.I. proprietary talent acquisition platform, robust ISO 9001:2015/ISO 27001 certified processes, and strong and passionate client engaged teams. We have built our business by providing talent and project-based solutions, including Contingent, Permanent, and Statement of Work (SOW) services to over 140 clients in the US, Canada, Puerto Rico, Costa Rica, and India. Key industries that we service include Technology, Financial Services, Life Sciences, Healthcare, Telecom, Retail, Utilities and Transportation. SPECTRAFORCE is built on a concept of “human connection,” defined by our branding attitude of NEWJOBPHORIA®, which is the excitement of bringing joy and freedom to the work lifestyle so our people and clients can reach their highest potential. Learn more at: http://www.spectraforce.com

Benefits: SPECTRAFORCE offers ACA compliant health benefits as well as dental, vision, accident, critical illness, voluntary life, and hospital indemnity insurances to eligible employees. Additional benefits offered to eligible employees include commuter benefits, 401K plan with matching, and a referral bonus program. SPECTRAFORCE provides unpaid leave as well as paid sick leave when required by law.

Equal Opportunity Employer: SPECTRAFORCE is an equal opportunity employer and does not discriminate against any employee or applicant for employment because of race, religion, color, sex, national origin, age, sexual orientation, gender identity, genetic information, disability or veteran status, or any other category protected by applicable federal, state, or local laws. Please contact Human Resources at [email protected] if you require reasonable accommodation.

California Applicant Notice: SPECTRAFORCE is committed to complying with the California Privacy Rights Act (“CPRA”) effective January 1, 2023; and all data privacy laws in the jurisdictions in which it recruits and hires employees. A Notice to California Job Applicants Regarding the Collection of Personal Information can be located on our website. Applicants with disabilities may access this notice in an alternative format by contacting [email protected].

LA County, CA Applicant Notice: If you are selected for this position with SPECTRAFORCE, your offer is contingent upon the satisfactory completion of several requirements, including but not limited to, a criminal background check. We consider qualified applicants with arrest or conviction records for employment in accordance with all local ordinances and state laws, including the Los Angeles County Fair Chance Ordinance for Employers (FCO) and the California Fair Chance Act (FCA). The background check assessment will consider whether a criminal history could reasonably have a direct, adverse impact on the job-related safety, security, trust, regulatory compliance, or suitability for this role. Such findings may result in withdrawal of a conditional job offer.

At SPECTRAFORCE, we are committed to maintaining a workplace that ensures fair compensation and wage transparency in adherence with all applicable state and local laws. This position's starting pay is: $70000.00/yearly.