Our Client Currently looking for Compliance Analyst, Supervision
Primary Responsibilities:
- Perform principal reviews and approvals/denials for annuity applications and 1035 exchanges under FINRA Rule 2330 and Reg BI standards.
- Assist in daily surveillance of internal and external representatives.
- Coordinate and review quarterly/annual compliance reporting to the CCO.
- Conduct Know Your Customer (KYC) onboarding checks and Customer Due Diligence (CDD) on new and ongoing institutional accounts.
- Update and maintain Written Supervisory Procedures (WSPs) to reflect new laws or regulatory guidance.
- Consult on various investment, FINRA and SEC compliance-related questions and issues as necessary.
- Collaborate and develop professional relationships with internal and external business partners.
- Oversee the online training platform from initiation to completion for Firm Element, Annual Compliance Meeting and Annual Compliance Questionnaire, ensuring full and successful employee participation.
- Assist with special projects, ad hoc assignments, and other investment advisor compliance-related matters as directed by CCO.
Required Education and Experience:
- Bachelor’s degree required, with 1-3 years of relevant compliance experience in the financial services industry; investment advisor experience preferred.
- Series 7 and 24 licenses required.
- Desire for continuous learning and career development in compliance and financial services.
- Excellent written and verbal communication skills; ability to work effectively with team members at all levels
- Detail oriented, organized and diligent, able to maintain discretion when handling sensitive and confidential information.
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Are you interested in this position?
Apply by clicking on the “Apply Now” button below!
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