Curian Clearing LLC® has an opening for a Compliance Analyst. Curian Clearing LLC is a registered self clearing broker dealer that provides execution, clearing and settlement services to an affiliated federally registered Investment Advisor.
Curian Clearing LLC is a subsidiary of Jackson National Life Insurance Company® (“Jackson®”).
Jackson is one of the nation's largest and fastest growing financial services companies, with over $100 billion in total assets. Please visit our website at www.jackson.com for more information.
This position is part of a legal/compliance team that is primarily responsible for ensuring that Curian is in compliance with the fiduciary and regulatory requirements under the Securities Act of 1933, Securities Exchange Act of 1934, ERISA, CFTC, U.S. Patriot Act and relevant FINRA regulations. The Compliance Analyst will report to the Assistant Vice President of Compliance - Clearing.
Essential Job Duties & Responsibilities
Assist in overseeing compliance with Anti-Money Laundering regulations and standards including but not limited to suspicious activity reporting, customer identification, FinCEN, and other areas in the AML Program
Administer program to test business practices against stated procedures
Assist with internal/external audit reviews and regulatory exams
Assist in administering and coordinating Web CRD reporting for the organization and its registered employees
Assist in administering the firm’s Continuing Education program, Annual Certification program, Email Surveillance program and other compliance requirements
Other duties as assigned
Knowledge, Skills, & Abilities
2+ years of AML Compliance and Bank Secrecy Act experience
Experience in Brokerage Compliance, Audit, Risk, Operations or Control
Strong analytical and problem solving skills
Must have the ability to work independently and in a team environment
Demonstrate a high level of ethics and professionalism
PC literate (Microsoft Office Suite, etc.)
Education and Experience Required
Bachelor Degree required
Must have at least three years experience in financial services industry
Must have previous experience working with investment advisors, portfolio managers, and/or mutual funds
Certifications, Licenses, Registrations Required
FINRA Series 24 license required or ability to obtain license within 90 days of hire
Jackson offers an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance benefits, a 401(k) retirement plan with matching, and a college tuition reimbursement program for employees and eligible dependents.
Online applications requested. Contact email@example.com for alternate formats for accommodation.
Equal Opportunity Employer
Company facilities and campuses are tobacco-free environments.
The above statements are intended to describe the general nature and level of work being performed by people assigned to this classification. They are not to be construed as an exhaustive list of all job duties performed by the personnel so classified.
Jan 10, 2013, 1:04:48 PM
Jackson National Life Insurance Company, a subsidiary of UK insurer Prudential plc, offers financial services (fixed, indexed, and variable...