Our Sr. Compliance Analyst will be responsible for monitoring the supervision performed by Branch Office Managers (OSJs) to ensure they are adequately performing their duties in accordance with firm policies and industry regulations. It will involve taking a lead role in tactical, risk-based oversight of supervision performed on certain sales activities in field branch offices, including but not limited to: leading investigations, reviewing higher profile items, mentoring analysts, and providing guidance to field OSJs.
Essential Functions :
Other Job Duties :
- Perform tactical, risk-based oversight of annuity and mutual fund transactions to ensure adequate field supervision has occurred
- Lead investigations of questionable supervision and related sales activities
- Mentor assigned analysts with a focus on developing decision making and communication skills.
- Seek to identify potential issues and support staff initiatives to improve and streamline monitoring and secondary oversight procedures.
- Keep up to date with Firm and industry regulations regarding financial institution activities; interpret Firm policies and procedures and incorporate into daily processes.
- Serve as an expert resource on compliance related issues to OSJs and Registered Representatives
- Assist in special projects
- 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
- Bachelor’s degree in business related field or equal experience
- 5+ years Compliance experience
- Series 7, 24, 63 or 66 required
- Series 3, 4, 27, 53 and/or 65 a plus
- Variable life and annuity licenses a plus
- All Microsoft applications, particularly Word, Access and Excel
- Excellent oral and written communication skills
- Demonstrate leadership abilities
- Ability to meet deadlines in a fast paced environment
- Ability to function cooperatively and build consensus on compliance related issues among Managers, Employees and Financial Advisors
- Strong analytical and research skills
- Knowledge of FINRA, SEC, and State rules and regulations
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