Savant Capital Management
  • - Rockford, IL
  • Salary
  • Full Time
  • Full Competitive Benefits Package

Job Summary

The SEC Compliance / Risk Management Analyst is a member of the compliance team and responsibilities would include analyzing and auditing business processes to identify and work to mitigate risks throughout the organization.  A thorough knowledge of SEC rules and regulations is required.

Duties and Responsibilities

The SEC Compliance / Risk Management Analyst can expect to focus in the following areas:
• Work with operational departments to audit business processes to ensure they are being followed and client paperwork and documentation is in good order. (examples: advisor dictation, IPS, risk assessment, billing)
• Assist with calculation of regulatory assets under management and audit discretionary vs. non-discretionary assets.
• Complete client performance dispersion testing.
• Analyze errors that occur and coordinate with department managers to understand root cause and corrective actions. (E&O analysis)
• Assist with cyber security program by maintaining and auditing policies and procedures.
• Administer authorizations and online access with custodians (examples: authorized agent forms, trade correction authorizations, online access and profiles)
• Assist advisors and client service with client notification in special circumstances. (examples: divorce, deceased)
• Develop vendor management process and audit to ensure process is being followed.
• Assist compliance department with managing solicitor relationships including training and auditing to ensure process is followed and paperwork is in good order.
• Perform site visits to review for compliance and security.
• Assist compliance with other special situations that might arise (examples: clients with foreign address, indicted client, client complaint, regulatory or civil action)
• Review and maintain corporate documentation and help to ensure filings are made on time.
• Assist other operation departments with projects as needed.
• Assist compliance with various duties related to mergers and acquisitions.

The above statements are intended to describe the general nature and level of work being performed by people assigned to this job. They are not intended to be an exhaustive list of all responsibilities, duties, and skills required of this position.



The SEC Compliance / Risk Management Analyst position typically requires the following qualifications:
• Bachelor's degree in finance, accounting, or related field from an accredited university.
• 5 years proven success in the financial services industry.
• Ability and willingness to pursue IACCP® or similar Compliance designation
• Strong Excel, Word, PowerPoint, and Outlook skills – Emphasis on Excel.
• Excellent written and verbal communication skills
• Client first attitude
• Self-starter, energetic, assertive
• Team player, collaborative, able to work with and through others
• Detail-oriented

Any combination of equivalent education and work experience will be considered.
Savant Capital, LLC is an Equal Opportunity Employer

This position has been closed and is no longer available.
Savant Capital Management


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