Compliance Analyst

As a Compliance Analyst, you will ensure Orioncomplieswith all legal, regulatory, and internal requirements while supporting the firm’s Investment Adviser and Broker‑Dealer compliance programs. The role performs core operational duties and conducts structured testing to evaluate the effectiveness of key controls. The analyst partners with teams across the organization — including Sales, Marketing, Operations, IT, Global Workforce, and external vendors — tomaintaincompliancereadiness. They also contribute to the continued evolution of Orion’s compliance program as the organization grows.Core duties align with market expectations for compliance operations (policy maintenance, monitoring, documentation, regulatory filings) and compliance testing (designing and executing test plans, documenting findings, and evaluating controls).As we continue to evolve and live our Orion values, we are looking for someone to grow with us.  

For Internal and External Candidates:Candidates must work in-office at one of the following locations for at least 3 days per week: Omaha, NE.

In this role, you'll get to:

• Analyze, review, and approve marketing materials and client presentations to ensure compliance with applicable laws and regulations

• Monitor Orion’s social media usage for compliance with regulatory requirements

• Conduct daily, weekly, monthly, quarterly, and annual compliance operations tasks to ensure Orion meets its regulatory obligations

• Maintain and update compliance program documentation, policies, procedures, andevidencerepositories

• Manage regulatory calendars, monitoring workflows, andcompliancedashboards

• Oversee filing, updating, andmaintaininginvestment adviser andbroker dealersecurities registrations and licensing

• Oversee Code of Ethics compliance including trade preclearance,post tradereviews,giftsand entertainment, outside business activities, and private placements

• Create andmaintaina library of interpretations, best practices, and disclosures related to marketing compliance review

• Identifyopportunities toutilizethe Global Workforce for operational tasks; train and support them as needed

• Conduct daily, weekly, monthly, quarterly, and annual compliancetestingto assess andmonitorkey business risks and controls

• Design, execute, and documentcompliancetest plans, sampling methodologies, and control evaluations

• Manage documentation of testing processes and results; analyze exceptions to enhance controls

• Drive the ongoing evolution of compliance testing andidentifyenhancements for monitoring and testing activities

• Identifyopportunities toleveragethe Global Workforce for testing and provide training/support for assigned processes

• Prepareaudit readytest documentation, including findings, root cause analysis, and remediation validation

• Produce periodic reports summarizing testing results, risks, trends, and recommendations for leadership

• Respond to inquiries from internal and external parties related to Orion’s compliance program

• Provide guidance and training to Sales, Marketing, Operations, Product, IT, and external vendors

• Coordinate compliance governance activities, issue tracking, and remediation documentation

• Assist the CCO in updating the compliance manual and department policies to reflect evolving regulatory requirements

• Assist the CCO in gathering information and documentation for regulatory exams, inquiries, and audits

• Perform other duties as assigned

We're looking for talent who:

• Has specific and working knowledge of the Investment Advisers Act of 1940, mutual funds, and general securities

• Has working knowledge of licensing and registration requirements for investmentadviserandbroker dealerentities

• Has experience with corporate retirement plan regulations (401k, 403b, 457, etc.)a plus, not

• Has strong understanding of SEC, FINRA, and state regulatory frameworks

• Manages compliance policies, procedures, workflows, and regulatory calendars

• Has strong experience with Code of Ethics oversight and marketing/advertising compliance standards

• Maintainsdocumentation, evidence libraries, SOPs, interpretations, and disclosures

• Has proficiencyin test plan design, sample selection, testing execution, exception analysis, remediation validation, and control evaluation

• Has familiarity with compliance risk assessment methodologies and assurance frameworks

• Drives iterative improvements in testing and monitoring activities

• Has advanced Excelproficiency(pivot tables, advanced formulas), data sampling, dashboarding, and trend analysis

• Has strong written and verbal communication skills; ability to translate complex regulations into practical guidance

• Owns and manages stakeholder relationships at all levels of the organization

• Challenges control owners diplomatically and coordinateswith internal audit

• Has attention to detail, time management, analytical rigor, judgment, confidentiality, and regulatory curiosity skills

• Has a minimum of 3–5 yearsof experience in compliance, risk, audit, regulatory operations, or financial services compliance roles