Under limited supervision, conduct review and approval of communications with the public and other communication to ensure compliance with FINRA/SEC/state securities and insurance rules and regulations. Additionally, coordinate compliance program(s) and/or conduct operational and/or surveillance functions required by SEC/FINRA regulations governing broker dealer and/or investment advisor affiliates under limited supervision
Responsibilities & Qualifications:
Essential Functions:
Review and approve complex public and internal communications to ensure compliance with FINRA/SEC/ state securities and insurance rules and regulations; file applicable materials with FINRA, and maintain official advertising records.
Under guidance from senior staff, maintain and amend official firm policies based on analysis of changes in regulations and business activities.
Create and/or maintain related internal policies and procedures regarding review of communications as needed
Answer general compliance questions relating to a variety of general compliance functions
Prepare quarterly and annual reporting information for immediate and senior level management.
Assist in providing documentation for regulatory exams.
Assist with regular surveillance reviews of electronic communications to identify potential compliance violations
Other duties as assigned.
Requirements
KNOWLEDGE, SKILLS, AND/OR ABILITIES:
Advertising/Sales Literature review experience preferred
Strong commitment to culture and demonstration of professionalism, accountability, customer/client focus, and teamwork
Ability to manage relationships with partner department personnel
Excellent written and oral communications skills
Professional demeanor with ability to work with all levels of management and staff
Ability to prioritize multiple tasks and manage projects effectively in a fast-paced demanding environment
Ability to work independently and focus on job tasks with little hands on supervision
Ability to execute and complete reviews of communications in accordance with established time standards
Proficient in use of MS Word, Excel, Outlook, Internet Explorer and Adobe Acrobat
Familiar with SEC, FINRA and state securities and insurance regulations
Keen attention to detail
EDUCATION AND/OR EXPERIENCE
Bachelor's degree in business or related field or equivalent work experience
1-2 years in industry or related position and other directly related experience
Working knowledge of SEC/FINRA limited broker dealer and/or investment advisor compliance
CERTIFICATES, LICENSES, REGISTRATION:
Series 6
Series 26 and 63 within 90 days of hire
Working Conditions/Physical Requirements:
Normal Office Working Conditions
Disclaimer: The above statements are intended to describe the general nature and level of work being performed by individuals assigned to this job. They are not intended to be an exhaustive list of responsibilities, duties and skills.
About Great-West Financial:
Great-West Financial SM helps millions of Americans, their companies and employers build greater financial security. Headquartered in metro Denver with offices around the country, Great-West Financial offers a wide range of retirement savings products and services, life insurance and annuities. With more than a century of experience and a history of financial strength and stability, Great-West Financial has earned the reputation as a trusted financial partner, to and through retirement.
For more information, please visit www.greatwestcareers.com . We are an equal opportunity employer dedicated to workforce diversity. We are committed to providing a drug-free workplace.
You’ll find good people at Great-West Financial.
Great-West Financial SM refers to products and services provided by Great-West Life & Annuity Insurance Company and its subsidiaries and affiliates. Great-West Financial SM is a service mark of Great-West Life & Annuity Insurance Company.
Great-West - 30+ days ago
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