Intermediate Compliance Analyst Job 2024 Full Time

Regulatory Compliance

Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management.

• Review current policies and procedures; identify and help to implement new and/or enhanced practices.
• Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
• Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization.
• Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments.
• Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
• Compile information for completion of reporting, including reports for management and state/federal regulators. Depending on complexity of the request, perform analysis, identify trends and follow up on opportunities for enhancement.
• Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training.
• Update and maintain complete and accurate policies, procedures, compliance logs or files.
• Assist team members with research and assigned tasks, and provide training to supported teams.

• Analyze new legislation and create summaries regarding the course of compliance action for the departments
• Review and approve advertising material for products
• Analyze company responses to regulatory complaints and assist with completion.
• Manage and coordinate regulatory examinations.
• Legislative analysis of past, current and proposed regulations for performing continuous compliance reviews to maintain product integrity and a compliant product portfolio.
• Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations.
• Review provided information for completeness and accuracy.
• Assist in drafting responses to examiner inquiries.
• Assist in identifying root causes of adverse findings and suggest opportunities for enhancements.
• Work closely with CCO in management and coordination of applicable securities industry compliance program.
• Foster a culture of compliance to help prevent, detect, and correct violations of securities rules and regulations.
• Provide assistance to support and educate business partners, representatives and supervisors.
• Assist in compiling information for Regulatory filings such as the Form BD and Form ADV.
• Assist in managing internal and regulatory inquiries and investigations involving representatives.
• Assist in reviewing and responding to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels.
• Assist in periodic testing to ensure compliance with applicable regulations.
• Review and respond to complaints from consumers or regulators (e.g., state insurance department, FINRA, SEC, consumer)
• Work closely with internal business areas to investigate complaints and provide a reasonable resolution to issues.
• Identify root causes; suggest opportunities for enhancements.
• Compile complaint procedures and records in support of regulatory examination requests.
• Participate in team meetings and discussions of complaint cases.

• Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
• Two years of regulatory, securities, or advertising compliance experience.
• Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
• Securities and some advertising industry positions require a general knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
• Written and verbal communication skills.
• Analytical and research skills.
• Proficiency using MS Office tools.

• Non-commuting Remote employees will not be assigned to report to a Company office location (although they may need to travel to a Company office upon request) and will perform their work remotely.