Our Compliance Analyst will be responsible for assisting the firm with regard to regulatory and compliance matters which includes but is not limited to: performing various types of analysis of advisory accounts with a focus on trends and patterns, flag resolution, communication with advisors and evidencing final completion of assigned tasks. Must become familiar with tracking mechanisms, spreadsheet analysis and occasional report writing.
Essential Functions :
- Keeping up to date with Company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes
- Performing daily and periodic tactical Surveillance and analysis of trading activity and other activities of Financial Advisors. Work with Senior Analyst and Manager on flag resolution, work independently on completion of statistical tracking and evidencing of final results
- Ensuring that Financial Advisors are meeting the standards and requirements set by regulatory agencies and the company
- Leading investigations of questionable sales activity and work with Senior Analyst and Manager on resolution
- Proactively seeking to identify potential issues and leads staff initiatives to improve and streamline surveillance procedures
- Serve as a go-to resource for peers and junior staff
- Serve as go-to resource for advisors
- Prepare draft reports to senior Compliance management
- Perform other duties as assigned.
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
- 2+ years industry experience
- Series 7 required. Series 24, 63 and 65 (or 66), 3, 4, 27, and/or 53 a plus. Insurance licensed in variable annuities and life a plus
- Experience with all Microsoft applications, particularly, VISIO, WORD, ACCESS, PowerPoint, and Excel
- Ability to function independently as well as cooperatively, and build consensus on compliance issues among managers, employees and representatives
- Excellent oral and written communication skills
- Ability to meet deadlines in a fast paced environment
- Ability to work with advisors and other team members on complex issues
- Thorough and detail-oriented with strong investigative skills
- Highly analytical with excellent research skills
- Extensive knowledge of investment products (stocks, bonds, mutual funds, options, etc.) a plus.
- Knowledge of FINRA, SEC, and State rules and regulations
- Bachelor's degree in business related field or equal experience Advanced degree a plus
Go back to the welcome page
Need further assistance?
Applicant Tracking Software