Job Description

Are you ready to elevate your career in compliance?

Do you thrive in roles that combine meticulous attention to detail, strategic problem-solving, and direct impact on operational integrity? If you’re a seasoned compliance professional or examiner looking for a dynamic opportunity, this role could be your next big move.

What You’ll Be Doing

As a Senior Analyst/Branch Examiner, you’ll be at the forefront of ensuring regulatory compliance and operational excellence across multiple branches. Reporting to the Deputy CCO and Compliance Manager, your responsibilities will include:

• Conducting Branch Audits: Perform risk-based inspections of retail branch offices, evaluating books, records, and supervisory procedures.
• Regulatory Review & Testing: Analyze internal communications, establish sampling criteria, and conduct thorough reviews of documentation and processes.
• Action-Oriented Reporting: Generate detailed reports highlighting findings and providing actionable recommendations.
• Advisor Engagement: Collaborate directly with investment advisors and branch staff to ensure compliance, educate on best practices, and address areas of concern.
• Risk Management: Partner with leadership to mitigate identified risks and implement policy improvements.
• Continuous Learning: Stay updated on evolving regulations and industry trends to maintain cutting-edge expertise.

This role involves travel (40-60%, approximately two weeks per month) and requires an in-office presence when not traveling.

What Makes You the Ideal Candidate

• Experience: 5+ years in compliance, auditing, or financial regulatory roles, preferably within investment advisory firms or financial institutions.
• Education: Bachelor’s degree in a relevant field (Accounting, Finance, Business).
• Expertise: Deep knowledge of the Advisers Act of 1940 and other federal/state securities laws.
• Skills: Strong analytical abilities, exceptional communication, and proficiency in Microsoft Office tools.
• Mindset: A proactive, detail-oriented problem solver who thrives independently and in collaborative environments.

Why Foundations Investment Advisors?

Foundations Investment Advisors is one of the fastest-growing SEC-registered RIAs, with a proven track record of delivering excellence. Here, your role will directly contribute to the firm’s mission of ensuring operational integrity and compliance excellence. We invest in your success with:

• A Dynamic Environment: Work alongside a team that values innovation, precision, and growth.
• Professional Development: Engage in meaningful projects that expand your expertise and career trajectory.
• Comprehensive Benefits: Health, dental, vision, 401(k), and paid time off for a balanced and fulfilling professional journey.

Ready to Make an Impact?

If this opportunity speaks to your professional goals, apply today! Join a firm that values your expertise and provides the platform to grow and thrive.

Foundations Investment Advisors is an equal opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, national origin, disability, or protected veteran status.

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