Compliance Analyst - Securities Entities

Overview

Under the direction of the Chief Compliance Officer or delegate, manages, supports and provides oversight and monitoring of internal controls, compliance, and operational functions for the Securities Entities of Western & Southern Financial Group. May also assist senior staff in preparing regulatory filings, responding to regulatory inquires and customer complaints. The primary focus of this position is to ensure quality assurance processes are managed and regulatory risks are sufficiently mitigated in a timely manner. Manages multiple deadlines and is responsible to make an established range of decisions, escalating to Manager when necessary. Works in an autonomous fashion with limited daily supervision.

Responsibilities

What you will do:

• Assists senior staff in identifying key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes.
• Tracks changes in self-regulatory organization (SRO) (i.e. FINRA), federal and state rules and regulations, identifies related policies and procedures, and updates as needed.
• Provides reviews of retail communications for the firm, escalating to the manager when issues are discovered.
• Conducts email reviews, escalating to the Compliance leader when issues are discovered.
• Assists in the preparation of compliance training.
• Assists in the preparation of exception reports on a regular basis.
• Manages outside brokerage account statement review/maintenance, escalating issues to compliance manager when discovered.
• Conducts AML surveillance, review and reporting.
• Works with other Compliance associates to monitor branch supervisory turnover, assignments and production of Form BR, assisting in the maintenance of all books and records related to this activity.
• Coordinates activities and communicates with other W&SFG Compliance groups as appropriate.
• Assists in ensuring applicable associates follow relevant industry rules/regulations, including specific Securities Entities' Codes of Ethics and Written Supervisory Procedures.
• Performs other duties as assigned.
• Complies with all policies and standards.

Qualifications

• Bachelor's Degree Or commensurate experience within financial services. - Preferred
• Typically requires up to 2 years of relevant experience - Required
• Demonstrated experience coordinating multiple, complex projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis. Must demonstrate strong attention to detail with excellent organization skills. Expected to cite examples of organization and time management /methods used to manage or prioritize workload demands. Must demonstrate project management experience in planning, executing, escalating issues and maintaining a project from start to finish - Required
• Demonstrated experience working effectively within a team. - Required
• Demonstrated experience driving results through the exercise of influence on peers and/or more senior associates - Required
• Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation. Must cite examples of organization skills. - Required
• Demonstrated ability to maintain a calm and professional demeanor associated with large workloads and meeting deadlines and target dates - Required
• Demonstrated excellent verbal and written communication and presentation skills, interpersonal and collaborative skills with experience conveying information to internal and external customers at all levels in a clear, accurate, focused and concise manner. - Required
• Proven strong quantitative and analytical skills, including demonstrated experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions to provide effective resolutions. Proven experience with sound decision-making and critical thinking skills when dealing with multiple alternatives. Must demonstrate the ability to conceptualize and apply new methodologies. - Required
• Knowledge of Microsoft Office applications and mainframe applications - Required
• Proficient in Legal and Regulatory research applications - Preferred
• FINRA SIE and Series 6 within six months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within nine months of the date of hire within 180 Days - Required
• FINRA Series 7, 24, 52/53, 63 and 65 or 66 Upon Hire - Preferred

Work Setting/Position Demands:

• Works in an office setting and remains in a stationary position for long periods of time while working at a desk, on a computer or with other standard office equipment, or while in meetings.
• Requires the ability to verbally communicate and exchange accurate information to customers and associates on a regular basis.
• Requires visual acuity to read and interpret a variety of correspondence, procedures, reports and forms via paper and electronic documents, visual inspection involving small defects; small parts, and/or operation of machinery (including inspection); using measurement devices continuously. Visual acuity is required to determine accuracy, neatness, and thoroughness of work assigned.
• Requires the ability to prepare written correspondence, reports and forms using prescribed formats and conforming to rules of punctuation, grammar, diction, and style on a regular basis.
• Requires the ability to apply principles of logical thinking to define problems, collect data, establish facts, and draw valid conclusions
• Performs substantial movement of wrists, hands, and fingers for continuous computer work.
• Extended hours required during peak workloads or special projects/events.
• Associate must be able to operate a motor vehicle for short and/or long distances
• Associate must be able to travel via airplane
• Associate must be able to travel via car
• Occasional after-hours work needed

Travel Requirements:

• 10% travel At least 10% of required travel annually.This position travels and works in various office settings and requires being in a stationary position for long periods of time frequently while working at a desk, on a computer or with other standard office equipment, or while in meetings.