Sr Compliance Analyst, Broker​/Dealer - REMOTE

Location:

Chicago, IL (additional locations: Carmel, IN; Houston, TX; New York, NY; Philadelphia, PA; Boston, MA; Atlanta, GA; Dallas, TX)

Senior Compliance Analyst, Broker/Dealer

• Investigate and resolve customer complaints in line with regulatory standards and firm policies.
• Act as conduit between the firm and regulator.
• Assess all communications of the firm according to current, pertinent regulatory requirements including internal guidelines and procedures.
• Protect the highly confidential nature of such communications.
• Monitor and test against applicable guidelines for potential business practice issues and/or regulatory concerns.
• Analyze history and other sources of information of potential issues.
• Perform further investigation and obtain additional detailed research by discussing and questioning the source(s) of the communication.
• Identify and escalates potential issues to senior management, from business areas as directed.
• Conduct in‑depth surveillance of various functions and processes throughout the organization to ensure compliance with the firm’s policies and procedures.
• Monitor regulatory developments – internal and industry regulations, guidelines, policies and issues impacting the content, use and distribution of email communications.
• Possess working knowledge of each business unit and their specific business needs both internally and in the industry.
• Develop policies and procedures and communicate them to assigned areas; communicate new regulatory developments.
• Test supervision structure and workflows and make recommendations on ways to increase efficiency while maintaining internal controls.
• Participate as a subject matter expert in special projects of the firm and the corporate enterprise.
• Conduct inspections of field offices and offices of supervision, including identification of potential advisor sales practice violations.
• Create and maintain key risk indicators and metrics using test results and other identifiers.
• Provide timely updates and communication to supervisory principals and OSJ/Branch BOAs regarding compliance and regulatory topics.
• Support/review compliance, operations and other corporate communications; disseminate relevant materials to management and associates.

• Excellent analytical skills, including the ability to evaluate a broad scope of data to define potential risks.
• Excellent organization skills, ability to manage multiple priorities, and ability to work independently.
• Ability to meet time‑sensitive deadlines and provide in‑depth reporting to executives, regulators, and legal counsel.
• Demonstrated leadership competency, including the ability to build relationships.
• Collaborate as a subject‑matter expert for the broker dealer and RIA with enterprise groups and sales force.
• Excellent communication skills, both written and verbal. Proven ability to communicate.
• Ability to travel approximately 30%.

• Series 7 and 24
• Series 63 and/or 65/66
• Bachelor’s degree or 8 years experience as equivalent
• Three years of experience in a securities/investment environment
• Understanding of FINRA rule 4530 and how to apply it

• Ability to work in Central or Eastern US time zone business hours
• Experience in a compliance function with the following concentrations: SEC‑registered investment adviser experience, FINRA member firm, complaint resolution
• Experience reviewing marketing materials and RFPs for an investment adviser
• Industry and securities markets, and knowledge of securities laws that relate to governance
• Compliance and business risk, and implementing solutions to address and mitigate such risk
• Relational database models
• Participation in special projects related to business processes, internal controls and audit verification

• Medical insurance
• Dental insurance
• Vision insurance
• 401(k) retirement plan with company match
• Short‑term & long‑term disability insurance
• Paid time‑off and corporate holidays
• Paid parental leave
• Company paid life insurance

Compensation: $81,100.00 – $ per year

Job Type: Full time

ReqID: JR170170

We are an equal opportunity employer and value diversity at our company. We do not discriminate on the basis of race, religion, color, national origin, sex, gender, gender expression, sexual orientation, age, marital status, veteran status, or disability status. We will ensure that individuals with disabilities are provided reasonable accommodation to participate in the job application or interview process, to perform essential job functions, and to receive other benefits and privileges of employment.

Please contact us to request accommodation.