Compliance Analyst

Compliance Analyst responsible for ensuring Orion complies with legal, regulatory, and internal requirements while supporting the firm’s Investment Adviser and Broker‐Dealer compliance programs.

Requirements

• Has specific and working knowledge of the Investment Advisers Act of 1940, mutual funds, and general securities
• Has working knowledge of licensing and registration requirements for investment adviser and broker dealer entities
• Has experience with corporate retirement plan regulations (401k, 403b, 457, etc.) a plus, not required
• Has strong understanding of SEC, FINRA, and state regulatory frameworks
• Manages compliance policies, procedures, workflows, and regulatory calendars
• Has strong experience with Code of Ethics oversight and marketing/advertising compliance standards
• Maintains documentation, evidence libraries, SOPs, interpretations, and disclosures
• Has proficiency in test plan design, sample selection, testing execution, exception analysis, remediation validation, and control evaluation
• Has familiarity with compliance risk assessment methodologies and assurance frameworks
• Drives iterative improvements in testing and monitoring activities
• Has advanced Excel proficiency (pivot tables, advanced formulas), data sampling, dashboarding, and trend analysis
• Has strong written and verbal communication skills; ability to translate complex regulations into practical guidance
• Owns and manages stakeholder relationships at all levels of the organization
• Challenges control owners diplomatically and coordinates with internal audit
• Has attention to detail, time management, analytical rigor, judgment, confidentiality, and regulatory curiosity skills
• Has a minimum of 3–5 years of experience in compliance, risk, audit, regulatory operations, or financial services compliance roles
• Has a minimum of a Bachelor’s degree or equivalent experience ​

Benefits

• Health insurance
• Dental insurance
• Vision insurance
• Disability insurance
• 401(k) plan with employer match
• Paid parental leave
• Pet benefits
• Student loan repayment