Compliance Analyst

Job Overview

Catalyst Wealth Management LLC is hiring a Compliance Analyst to assist in the compliance program of our SEC-registered investment adviser.

• Title: Compliance Analyst
• Location: Houston, Texas — on-site
• Type: Full time

Duties

The Compliance Analyst will assist the firm's compliance officer under Rule 206(4)-7 of the Investment Advisers Act of 1940. You will help design, run and test our compliance program, help with regulatory examinations, and advise leadership on regulatory risk as the firm grows.

About Catalyst Financial

Catalyst Financial is an SEC-registered investment adviser based in Houston. We manage ~180,000,000 in assets for individuals and provide wealth management, financial planning and portfolio management services.

We are growing incredibly quickly and really want someone who wants to grow with us!

Key responsibilities

• Help administer the firm's written compliance policies and procedures, and keep them current with SEC rules and guidance.
• Help conduct the annual review of the compliance program required by Rule 206(4)-7 and report findings to leadership.
• Help administer the Code of Ethics, including personal trading pre-clearance, holdings and transaction reports, and gifts and entertainment.
• Help review advertising, website, social media and client communications under the SEC Marketing Rule.
• Help oversee trade review, including best execution, allocations, trade errors and the trade blotter.
• Help monitor custody, books and records, privacy and cybersecurity, business continuity, and anti-money laundering obligations.
• Help oversee investment adviser representative registrations and the firm's licensing.
• Help train employees on compliance policies and new regulatory requirements.
• Help evaluate and manage relationships with compliance vendors, consultants and outside counsel.
• Advise leadership on new products, services, acquisitions and other initiatives from a regulatory standpoint.

Required Qualifications

• Series 65, or Series 66 with Series 7.
• Bachelor's degree
• Ideally have experience running or substantially supporting an RIA compliance program
• Working knowledge of the Investment Advisers Act of 1940 and its rules, including the Marketing Rule, Custody Rule and Code of Ethics Rule.
• Strong judgment, discretion, and the confidence to give leadership candid advice.
• Clear writing and the ability to explain regulatory requirements in plain language.

Compensation and benefits

• Base salary to be negotiated
• Health/Dental/Vision 80% employer covered
• Company paid for Short-Term/Long-Term Disability/ Life Insurance
• Paid time off
• Paid professional development and continuing education.

Work Location

In person 1880 S Dairy Ashford Road STE 300, Houston, Texas 77077

Pay: $61,700.00 - $74,400.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Health insurance
• Life insurance
• Paid time off
• Vision insurance

Work Location: In person