COMPLIANCE ANALYST

Dunham & Associates Investment Counsel, Inc. ("Dunham") is a thought leader in the financial services industry. The way we work is a direct reflection of our company culture; we believe in accountability, putting our clients first, and constantly striving for growth. Since 1985, Dunham has grown to become a multi-billion dollar firm. We work with close to 1,400 Financial Advisors across all 50 states.

Dunham is an independently owned Registered Investment Adviser and Broker/Dealer. Member FINRA/SIPC, helping Financial Advisors and individual investors reach their long-term goals. The firm's focus is on providing disciplined wealth management solutions and related services.

Job Summary: The Compliance Analyst assists the Chief Compliance Officer in the oversight of the firm’s compliance efforts and with the development, implementation and maintenance of compliance policies, procedures and records. With primary responsible for certain day-to-day compliance activities of the firm and its affiliates, the Compliance Analyst ensures adherence with all applicable compliance requirements as well as internal corporate polices. The Compliance Analyst also provides excellent administrative support to the Chief Compliance Officer (CCO) and collaborates to ensure Company adherence to all compliance requirements.

This is not a remote or hybrid opportunity, the position requires San Diego local residency and in-office work. We are not able to sponsor visas at this time.

Essential Duties and Responsibilities:

• Conduct timely electronic communications review;
• Review Advertising materials in compliance with regulatory requirements;
• Process individual registrations and terminations via WebCRD;
• Conduct employee compliance onboarding;
• Facilitate fingerprinting of new employees and monitor FBI status on WebCRD;
• Maintain and review quarterly Market Timing Reports;
• Maintain and conduct Trade Blotter Review;
• Maintain FINCEN/OFAC reports;
• Reconcile employee outside brokerage accounts to ensure adherence to Code of Ethics;
• Conduct quarterly Code of Ethics review;
• Assist with the preparation of materials for annual and other compliance meetings;
• Complete and maintain the complaint log;
• Complete annual firm continuing education needs analysis;
• Update and maintain firm element continuing education plan document;
• Assist with updates to the Written Supervisory Procedures;
• Distribute various policies and collect signed acknowledgements from staff;
• Organize and schedule appointments and meetings;
• Maintain Sub-adviser contact lists;
• Ensure all employee licenses are current with FINRA and the states;
• Organize annual independent AML Audits with CCO;
• Prepare monthly Net Assets Report for the Mutual Fund Board;
• Collect and organize quarterly Mutual Fund Board Meeting reports from sub-advisers;
• Arrange quarterly Mutual Fund conference calls with sub-advisers;
• Maintain DocuSign Reports weekly;
• Coordinate signatures for quarterly Best Execution reports for the Mutual Funds;
• Draft correspondence as needed;
• LexisNexis user reports quarterly;
• Maintain employee regulatory files;
• Order training materials for new and existing employees that require licensure;
• User Administrator for DocuSign, LexisNexis, Orion Inform portal and RegEd portal;
• Assist Operations with address change review;
• Assist with information gathering for FINRA and SEC audits;
• Assist with information gathering for customer complaints/legal matters;
• Assist with other projects as needed.

Education Required:

• BA/BS degree or related experience required.
• FINRA SIE (SIE is pre-requisite for Series 7), Series 7, Series 24, Series 66.
• Ability to pass other FINRA principal examinations as required.

Experience Required:

• 3-5 years proven investment adviser, broker-dealer compliance experience
• Microsfot Office Word / Excel / PowerPoint
• Excellent working knowledge of financial services industry and FINRA and SEC regulations applicable to investment advisers, broker-dealers.
• Knowledge of compliance requirements applicable to broker-dealers and registered investment advisers preferred.

Competencies:

• Strong organizational skills and analytical and problem solving skills;
• Strong written and verbal communication skills;
• Strong detail orientation;
• Demonstrates initiative;
• Self-motivated;
• Works independently with minimal supervision;
• Functions well as a member of a small team;
• Comfortable working in a time critical environment.
• Knowledge of FINRA CRD system;
• Ability to prioritize multiple projects and responsibilities;
• Tactful with ability to maintain confidentiality;
• Able to work under deadlines with frequent interruptions and complete detailed work on multiple concurrent tasks.

Salary commensurate with experience to include education and FINRA licenses:

$75,000 annually to $120,000 annually

Dunham offers a complete benefits package to full-time employees who regularly work more than 30 hours per week. Interns and temporary employees are not eligible for these benefits.

Health & Welfare

Medical, Dental & Vision (choices vary by state)
Life and AD&D Insurance (company paid)
Short-Term & Long-Term Disability (company paid)
Long-Term Care Insurance (company paid)
Flexible Spending Plans (Medical and Dependent Care)
Employee Assistance Plan (company paid)
Domestic Partner benefits
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Other Great Benefits!

401(k) Plan with generous company match
Employee Stock Purchase Plan
Paid Time Off (PTO) and Holiday benefits
Company-Sponsored Events

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