Senior Compliance Analyst at Imafinancialgroup

IMA Advisory Services (IMAAS), a subsidiary of IMA Financial Group, is seeking a highly motivated and experienced Senior Compliance Analyst to join our growing team. This role is pivotal in ensuring regulatory compliance across marketing, operations, and advisory services. The successful candidate will serve as a key compliance leader, providing guidance on SEC regulations, reviewing marketing materials, and supporting the broader compliance program. Candidates with backgrounds in paralegal work or internal audit are encouraged to apply. ESSENTIAL JOB RESPONSIBILITIES include but are not limited to: • Supports and demonstrates IMA’s core values • Values and understands the importance of diversity, equity and inclusion among all IMA associates • Serve as primary contact for clients on advertising, code of ethics, and compliance matters. Design, implement, and continuously enhance processes for reviewing marketing materials) and client communications to ensure compliance with the Investment Advisers Act and other applicable securities regulations. • Support IMAAS audit and regulatory examination response processes, when applicable. • Assist the Chief Compliance Officer with compliance testing and oversight of RIA business. • Maintain and enhance compliance manuals, reference guides, and internal review procedures. • Prepare and submit regulatory filings (Form ADV, U-4, U-5, 13F). • Administer policy management systems and employee attestations. • Conduct compliance risk assessments, testing, and monitoring. • Support vendor oversight and participate in committee and working group meetings. • Provide training and education on compliance policies and best practices. • Represent the firm at industry conferences and branch office reviews (minimal travel). • Collaborate with business partners to provide regulatory advice and solutions. • Perform duties and projects as assigned. REQUIRED EXPERIENCE AND SKILLS include but are not limited to: • 5-7 years of compliance experience in wealth management or private fund industry or similar experience. • Bachelor’s degree required • Understanding of SEC regulations, including the Investment Advisers Act of 1940 and Securities Act of 1933. • Experience with IAR registration, licensing, and CRD system. • Strong analytical, problem-solving, and organizational skills. • Excellent written and verbal communication. • Proficiency in Microsoft Excel, Word, PowerPoint; familiarity with Copilot or other AI systems is a plus. • Ability to manage multiple priorities in a fast-paced environment. • Client-service mentality and collaborative work style. • High degree of integrity, professionalism, and judgment. The anticipated posting timeline for this opportunity is 3/4/2026-4/4/2026. Salary Range$92,000—$125,000 USDCompensation & Benefits Being a part of IMA has its benefits. When you become part of the IMA family, you become eligible to take part in our valuable benefits and rewards package designed to benefit you, your family, and your life. Our plans are cost-effective, convenient and provide progressive ways for staying healthy, protecting loved ones, pursuing financial security and living a full and balanced life. This role is eligible for the following: Annual Performance Bonus, Stock Purchase, Medical Plans, Prescription Drugs, Dental, Vision, Family Assistance Program, FSA, HSA, Pre-Tax Parking Plan, 401(k), Life/AD&D, Accident, Critical Illness, Hospital Indemnity, Long Term Care, Short-term Disability, Long-term Disability, Business Travel Accident, Identity Theft, Paid Time Off, Flexible Work Options, Paid Holidays, Sabbatical, Gift Matching, Health Club Reimbursement, Personal and Professional Development. In addition to our robust benefits package, the final offer amounts will depend on a variety of factors, including the candidate’s geographic location, prior relevant experience, and their knowledge, skills, and abilities. *These benefits do not apply to internship roles. Why Join IMA? We’ve built a reputation for putting our associates first What if we told you that you could be an integral part of an entrepreneurial, expanding company, develop lasting relationships, earn competitive benefits, plus claim part ownership? It’s this unique ownership business model that makes working at IMA so appealing. We work in teams. We sell in teams. We win and prosper as a team We provide support systems and resources that enable each of our associates to focus on what they do best. And as an independent company based in the Midwest, we’re big enough to write business all over the world and small enough to implement your ideas quickly. We are recognized nationally as a leader in our industry • 2020-2023 Business Insurance Magazine Best Places to Work in Insurance • 2023 Inc. Magazine’s Best Workplaces • 2023 Denver Business Journal’s Best Places to Work • 2022-2023 Connecticut Top Work Places • 2021-2023 Inc. 5000’s List of Fastest Growing Companies • 2019-2022 Civic 50 Colorado Honoree Recognizing 50 Most Community-Minded Companies • 2022-2023 Kansas City Business Journal’s Best Places to Work • 2021-2023 Charlotte Business Journal’s Best Places to Work • 2021-2023 Los Angeles Business Journal’s Best Places to Work • 2021-2023 The Salt Lake City Tribune Top Work Places • 2021-2022 Puget Sound Business Journal’s Washington’s Best Workplaces • 2021-2022 Wichita Business Journal’s Best Places to Work, #1 in extra-large category • 2021 Dallas Business Journal’s Best Places to Work • 2021 Alaska Journal of Commerce’s Best Workplaces in Alaska This Job Description is not a complete statement of all duties and responsibilities comprising this position. The IMA Financial Group, Inc. provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics. In addition to federal law requirements, The IMA Financial Group, Inc. complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.