Digital Communications Surveillance Analyst at S&P Global Ratings monitoring electronic communications for regulatory compliance. Collaborating with global teams and identifying potential compliance issues.
About the role
- Compliance Analyst enabling WFG & TFA organizations to meet regulatory standards and mitigate risk. Focused on policy enforcement, documentation, and responding to regulatory inquiries with a team.
Responsibilities
- Assist in mitigating legal exposure/risk to the WFG & TFA organizations by enforcing company policies, procedures, and regulatory requirements
- Work with instruction or guidance with applicable latitude for un-reviewed action or decisions
- Perform general assignments with direction and guidance from management
- Review WFG & TFA policies and procedures; identify and help to implement new and/or enhanced practices
- 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
- Perform analysis, identify trends, and follow up on opportunities for enhancement based on the complexity of requests
- Update and maintain complete and accurate policies, procedures, compliance logs, and files
- Analyze company responses to regulatory complaints and assist with completion
- Coordinate regulatory examinations
- Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations
- Review provided information for completeness and accuracy
- Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements
- Support the review and response to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior levels by gathering information
Requirements
- Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
- A basic knowledge of the securities laws, regulations, and rules
- Written and verbal communication skills
- Analytical and research skills
- Proficiency using MS Office tools
- Series 7 & 24 or Series 6 & 26, as applicable (preferred)
- Regulatory, securities, or advertising compliance experience (preferred)
Benefits
- Competitive Pay
- Bonus for Eligible Employees
- Benefits Package
- Pension Plan
- 401k Match
- Employee Stock Purchase Plan
- Tuition Reimbursement
- Disability Insurance
- Medical Insurance
- Dental Insurance
- Vision Insurance
- Employee Discounts
- Career Training & Development Opportunities
- Health and Work/Life Balance Benefits
- Paid Time Off starting at 160 hours annually for employees in their first year of service.
- Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
- Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
- Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
- Adoption Assistance
- Employee Assistance Program
- College Coach Program
- Back-Up Care Program
- PTO for Volunteer Hours
- Employee Matching Gifts Program
- Employee Resource Groups
- Inclusion and Diversity Programs
- Employee Recognition Program
- Referral Bonus Programs
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