Compliance Specialist
Genworth Financial, Inc. - Pleasant Hill, CA

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Genworth Wealth Management serves independent financial advisors who build great businesses by making a difference in the lives of their clients. As advocates for our advisors’ livelihoods as well as the goals and dreams of their clients, we take a proactive role in teaching intelligent portfolio construction and how the management of risk instills confidence, clarity and calmness in all market conditions.

We offer a flexible combination of institutional and boutique investment strategies customized to individual goals and circumstances. We stay involved dedicated teams whose creative contributions help promote better outcomes for advisors’ practices and their investors’ portfolios. At the highest level, our product is a relationship of trust and dependability, which aligns the interests of both advisor and investor.

Job Description

CODE OF ETHICS MONITORING, EMPLOYEE COMMUNICATION, REMINDERS AND STATEMENT REVIEW
  • Support the Compliance Program by administering the Code of Ethics activities including: sending quarterly emails, assessing whether new groups need to be added to the Code or to the pre-clearance requirements.
  • Analyze employee trading for patterns that are in violation of the Insider Trading and Code of Ethics. Writes violation memos and work with employees on correcting violations.
  • Directly support the Compliance team in the annual Code of Ethics process, including recommending amendments to the Code of Ethics, developing the annual code of ethics training and oversee the annual Code of Ethics Certifications and Employee Questionnaires. Review the annual questionnaires for any potential violations of the Code of Ethics.
  • Assist in the Compliance Officer’s conduction of new employee orientation on the Code of Ethics.
NEW EMPLOYEE REGISTRATIONS FOLLOW-UP & MONITORING
  • Primary liaison with our affiliated broker-dealer for employee FINRA registrations, annual branch audit, annual license renewals, supervisory structure updates and field miscellaneous questions/requests
  • Ownership of new employee registration for state license(s) and U5 processing
  • Proactively reaches out and confirms whether new positions or changes in the organization dictate additional licensing. Communicates these changes to employees, CBC and other divisions of Genworth to ensure compliance with regulatory requirements.
BEST EXECUTION
  • Gather all documentation for the Execution Review Committee, develop the agenda, coordinate the meeting, write the minutes, spearhead the follow up tasks and maintain up to date files.
COMPLIANCE PROGRAM MAINTENANCE AND TESTING
  • In conjunction with Compliance staff, compliance policies and procedures. Develop testing and monitoring procedures for those policies and maintain appropriate records.
  • Conduct forensic testing on various policies and procedures considered higher risk to the firm and report out findings and recommend corrective measures to implement.
  • Work with Compliance team in conducting client file reviews and other testing or project work as necessary.
Basic Qualifications:
  • Bachelor’s degree required;
  • 3-5 years experience required in the financial services industry, preferably including background at an SEC registered investment adviser
  • Highly analytical and detail-oriented a must
  • Ability to drive for results in a comprehensive manner taking into account time constraints
  • Organizational and time management skills required
Preferred Qualifications:
  • Investment Adviser and/or Broker-Dealer compliance related experience
  • Project management, regulatory and/or audit experience

Genworth Financial, Inc. - 14 months ago - save job - block
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About this company
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Genworth Financial, Inc. is a leading Fortune 500® insurance holding company dedicated to helping people secure their financial lives....