Hybrid Compliance Analyst – Wealth Management

Posted 2 weeks ago

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About the role

  • Performing delegated supervisory activities, oversight, surveillance and exception reporting research and review, maintenance of branch-level supervisory books and records
  • Assisting managers as needed with assigned day to day compliance/oversight tasks and responsibilities to ensure branch office compliance with Firm policies as well as SEC, FINRA and state securities and insurance rules and regulations
  • Helping draft, revise and enforce new and existing policies and procedures and communicates branch-level policy to sales managers and registered representatives
  • Assist the OSJ Oversight Director with special projects as required

Requirements

  • Relevant compliance or securities related experience with a broker/dealer, investment adviser and/or financial services firm
  • Excellent writing, oral and analytical skills
  • FINRA Series 7 and 24 registrations required
  • Ability to work independently and meet strict deadlines
  • Strong knowledge of securities and insurance rules and regulations
  • Strong knowledge and expertise of retirement plans, products and concepts
  • Strong aptitude with retail brokerage and advisory platforms
  • Strong prioritization, organization and time management skills
  • Series 65 or 66 -IAR Designation highly desirable (must be obtained within 3 months)

Benefits

  • Health, dental, vision and life insurance plans
  • 401(k) Savings plan – with generous company matching contributions (up to 6%)
  • Voya Retirement Plan – employer paid cash balance retirement plan (4%)
  • Tuition reimbursement up to $5,250/year
  • Paid time off – including 20 days paid time off, nine paid company holidays and a flexible Diversity Celebration Day
  • Paid volunteer time — 40 hours per calendar year

Job title

Compliance Analyst – Wealth Management

Job type

Experience level

Mid levelSenior

Salary

$53,970 - $89,960 per year

Degree requirement

Bachelor's Degree

Location requirements

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