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Advisor Group

Senior Data Analyst, Investment Advisory
Post Date:Dec 13, 2017Type:Full-Time
Start Date:12/13/2017Salary:- n/a -
Location: US-NJ-Jersey City Job Reference:R0000403

Description


Advisor Group Careers

Our strengths, combined with the collective strengths of our advisors, provide powerful momentum to meet the next generation of challenges and opportunities.


The Senior IA Data Analyst works within the Investment Advisory compliance department as a lead analyst supporting the RIA Deputy Chief Compliance Officer.


ESSENTIAL DUTIES AND RESPONSIBILITIES include, but are not limited to, the following:

Forensic Testing – Develop ad hoc reports to support forensic testing efforts as part of the annual review required by rule 206(4)-7. Forensic testing will be used to test for previously unidentified issues by:

  • Gaining additional insight form data or 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 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.


EDUCATION and/or EXPERIENCE

  • Bachelor's degree from a four-year college or university. Significant relevant work experience may be considered.
  • 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.

OTHER REQUIREMENTS

  • Experience in MS SQL Server, VBA, and Excel macros preferred
  • Proficiency in MS Office and various other business applications
  • Strong written and verbal communication skills
  • Ability to operate effectively as part of a project team or individually


Job Requirements
 


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