Compliance Analyst at CBIZ in Cleveland, OH

Essential Functions and Primary Duties

Regulatory Compliance (Broker-Dealer & RIA)

• Assess, develop, implement, and ongoing maintenance of compliance programs in accordance with SEC, FINRA, and applicable state regulations.
• Conduct and own ongoing monitoring, reviews, and testing of business activities to identify potential compliance risks and issues.
• Help lead the Compliance and Operations teams with the preparation, review, and timely filing of regulatory reports and disclosures, including Form ADV, Form CRS, FINRA filings, and state regulatory submissions.
• Support regulatory examinations, audits, and inquiries by preparing documentation, responding to requests, and coordinating with internal compliance stakeholders.

• Review marketing, advertising, and client communications for regulatory compliance, and support RIA leadership with go-to-market initiatives.

   

Corporate Compliance

• Support compliance with corporate policies and programs, including but not limited to insider trading, RFPs, business continuity planning (BCP), records retention, and anti-bribery and anti-corruption requirements.
• Help lead the administration, monitoring, and ongoing effectiveness of corporate compliance policies and programs across business units.
• Support and enforce the codes of ethics, conflicts of interest processes, investigations, and whistleblower programs.
• Participate in enterprise risk management (ERM) and compliance risk assessments.
• Assist in the development, maintenance, testing, and documentation of internal controls related to compliance and corporate governance.
• Support Board of Directors and committee reporting, including preparation of compliance summaries, metrics, and materials.
• Assist and develop policy governance, including drafting, reviewing, updating, and distributing corporate compliance policies and procedures.

Skills & Continuous Improvement

• Demonstrated strategic problem-solving skills, including the design, implementation, and execution of compliance solutions in complex regulatory and corporate environments.
• Experience supporting the development, implementation, and oversight of compliance automation, ensuring alignment with legal, regulatory, and industry best practices.
  • Provide governance and oversight of automated compliance tools and processes.
  • Support training, monitoring, and ongoing effectiveness testing of compliance programs.
• Proactively enhance compliance processes and support the continuous evolution of compliance programs through automation, data analytics, and best-practice improvements.
• Collaborate effectively with internal stakeholders, including Legal, Finance, Risk, Operations, Technology, Internal Audit, and Business Unit leaders, to integrate compliance into daily business operations.
• Assist in delivering clear, well-documented, and actionable compliance reporting to senior management and the Board of Directors.
• Identify potential system, process, and internal control gaps, and support remediation efforts.
• Have sound ethics and understanding of necessary discretion as well as good use of independent judgement

Preferred Qualifications

• 4+ years of experience in compliance, risk, or operational functions.
• Experience working with SEC and FINRA-regulated entities.
• Relevant compliance licenses or professional designations.
• Excellent research, writing, analytical, and organizational skills.
• Strong ethical judgment and a high level of professionalism.
• Demonstrated ability to communicate verbally and in writing throughout all levels of the organization as well as external partners
• Ability to manage competing deadlines, including regulatory and business-driven timelines.
• Familiarity with the Investment Advisers Act of 1940 and Broker-Dealer regulations and practices.
• Possession of, or willingness to obtain, required FINRA Series licenses.
• Experience supporting audits or regulatory examinations

Minimum Qualifications

• HS diploma or GED required; Bachelor's degree in Business, Economics, Statistics or relevant field preferred
• 3 years of relevant experience
• Must possess analytical skills
• Must be able to comprehend, manipulate and interpret statistical data
• Demonstrated ability to communicate verbally and in writing throughout all levels of organization, both internally and externally
• Proficient use of applicable technology

CBIZ, Inc. (NYSE: CBZ) is a leading professional services advisor to middle-market businesses nationwide. With industry knowledge and expertise in accounting, tax, advisory, benefits, insurance, and technology, CBIZ delivers actionable insights to help clients anticipate what is next and discover new ways to accelerate growth. CBIZ has more than 9,500 team members across 23 major markets coast to coast.

CBIZ strives to be our team members' employer of choice by creating an environment where team members are appreciated, recognized for their contributions, and provided with opportunities to grow, both personally and professionally, throughout their careers.

Together, CBIZ and CBIZ CPAs are ranked as one of the top providers of accounting services in the United States. CBIZ CPAs is an independent CPA firm that provides audit, review and attest services, while CBIZ provides business consulting, tax and financial services. In certain jurisdictions, CBIZ CPAs operates under its previous name, Mayer Hoffman McCann P.C.