Compliance Analyst/Licensing and Contracting

2 weeks ago

Summit, United States Systems Staffing Group, Inc. Full time

Reports to: Director of Compliance, Simplicity Group

Summary: The Compliance Analyst will assist the Director of Compliance in the development, direction and implementation of company-wide policies and procedures. This position requires someone with a compliance background and an interest in obtaining deeper knowledge and additional compliance experience related to a RIA and the insurance industry.
Primary Responsibilities:

  • Lead the Licensing and Contracting function for Simplicity firms
  • Assist in maintaining required books and records
  • Advise on compliance issues and assist Simplicity in development of procedures
  • Support compliance functions such as recordkeeping and communications within the organization
  • Support new business/suitability requirements
  • Stay abreast of regulatory and legal developments and communicates current state of legislative issues to management
  • Assist with regulatory and compliance training
  • Partner with Director of Compliance to address compliance requirements with subsidiaries

Qualifications:

  • Bachelor s Degree or comparable experience
  • 3 years experience in compliance or similar role
  • Understanding of RIA or BD compliance and the related legislative, regulatory, distribution requirements associated with them
  • Experience within a financial institution in a licensing and contracting role or similar.
  • Preferred licenses - Series 6/650 (not required)
  • Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures
  • Ability to anticipate, monitor, and supervise compliance risks
  • Proficiency with Microsoft Office and Google Suite

Core Competencies:

  • Creative problem-solver
  • Proven strategic decision-making ability
  • Thrives in a highly dynamic, fast-paced environment, within tight deadlines while quickly shifting priorities, serving multiple customers and managing multiple assignments
  • Demonstrated leadership and a self-starter
  • Collaborative team player
  • Able to balance the needs of the business within regulatory parameters
  • Outstanding and consistent communication skills
  • Ability to effectively partner with business clients by anticipating business needs and working toward success in a productive/timely manner within scope of responsibility
  • Strong written and verbal communication skills
  • Demonstrated strong relationship management skills with both internal and external partners, clients
  • Demonstrates ability to use sound judgement and discretion regarding confidential information

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