Compliance Analyst

Company Description Kyan Compliance provides specialized compliance services to registered investment advisory firms and broker-dealers. The organization focuses on helping clients navigate complex regulatory requirements and maintain robust compliance programs. Team members collaborate closely with financial services professionals to ensure policies, procedures, and controls meet industry standards. Working at Kyan Compliance offers exposure to a variety of firms and regulatory scenarios, creating opportunities for professional growth in the compliance and finance sectors.
Role Description The Compliance Analyst is a part-time 1099, remote role. This role is responsible for monitoring and reviewing compliance processes for registered investment advisers and broker-dealers, including performing regular testing, audits, and documentation reviews. The analyst will research and interpret regulatory requirements, assist in drafting and updating policies and procedures, and support the implementation of corrective actions. Daily activities include preparing compliance reports, maintaining accurate records, and collaborating with internal teams and clients to address compliance inquiries. The role also involves supporting training initiatives, identifying potential risks, and helping ensure adherence to applicable securities laws and industry best practices.
Qualifications
Strong knowledge of Regulatory Compliance and familiarity with rules applicable to registered investment advisors and broker-dealers.
Demonstrated Analytical Skills, including the ability to interpret data, identify trends, and assess risks.
Effective Communication skills, with the ability to prepare clear reports and interact professionally with internal stakeholders and clients.
Foundational understanding of Finance and financial services operations relevant to investment advisory and broker-dealer environments.
Experience with conducting compliance reviews, testing controls, and documenting findings.
Relevant certifications (e.g., CRCP, or securities licenses) are a plus.
Strong attention to detail, integrity in handling confidential information, and ability to manage multiple tasks in a fast-paced environment.
Proficiency with standard office software and comfort working with compliance and document management systems.

Work arrangement
Yes