Financial Compliance Analyst
4 weeks ago
Brokers International and our subsidiary organizations, Brokers Financial and Brokers International Mountain States work to empower financial professionals across the country with innovative solutions, support, technology, and marketing assistance so they can help more Americans effectively prepare for retirement. By joining our team, youll have the opportunity to work for one of the countrys largest and most experienced insurance marketing organizations, enabling you to positively impact thousands of financial professionals and their businesses.
Under the leadership of CEO Mark Williams, BI is making significant investments in talent, operations, sales and marketing capabilities, and digital platforms in order to step-change its ability to drive accelerated growth as a strategic partner.
Our thriving, positive workplace culture helps drive our workforce and encourages overall employee wellbeing. We strive for an environment of inclusion, while celebrating the individual creative differences embodied by all of our associates. You will be surrounded by individuals that are passionate about our company, our brand, the level of support we provide our partners, and working as one integrated team. Our core values are Teamwork, Work Ethic, Integrity, and Customer Service. If you are up for the challenge, come join us and be part of taking BI on a new journey of accelerated growth and success.
The Role
Our Broker Dealer, Brokers Financial, is looking for a Compliance Analyst. The person in this position will work closely with team members in the Compliance Department to modify, implement, and supervise the compliance procedures and the overall supervisory structure of the Broker-Dealer and RIA. As such, the Compliance Analyst will be instrumental in helping to modify, implement and oversee the continuing education and representative training program; advertising, email and correspondence review; and anti-money laundering program enforcement. This position will assist and assure representatives are following the policies and procedures of Brokers Financial.
Essential Job Functions
* Conduct ongoing supervision of RRs and IARs. Determine necessary modifications to the supervisory structure and monitor and oversee the structure for the Firm.
* Develops and maintains an effective compliance training program, including appropriate introductory training for new employees and registered representatives as well as ongoing training.
* Conduct compliance audits of OSJ managers and direct reporting representatives and advisors. Determine any action items regarding individual audits.
* Analyze monthly compliance reports to determine if regulations and firm polices are met within set timing standards, including oversight reports.
* Help develop monitoring programs and exception reports to look for rule violations or potential sales practice issues.
Knowledge, Skills and Abilities
* Ability to demonstrate our Core Values
* Excellent oral and written skills
* Self-starter
* Must be analytical and detail oriented.
* Ability to identify, weigh and convey potential risks.
* Ability to communicate effectively with all levels of management.
* Maintains high standards of confidentiality of all information.
* Ability to work independently and in a team environment.
Experience and Education
* Must possess strong technical knowledge and advanced understanding of SEC, FINRA, MSRB, and state securities regulations.
* Bachelors degree (B.A.) from a four-year college or university and two - four years related experience and/or training; or equivalent combination of education and experience.
* FINRA Series 7 and 24 required, Series 66/65 preferred, required within first 6 months of employment.
Employee Benefits
Brokers International offers a comprehensive benefits package including PTO, paid holidays, medical, dental, retirement plan, Employee Ownership Program, employer paid short term disability, and more. We believe in a flexible work environment and have a hybrid work model for most positions. We also reward our employees hard work with profitability bonuses, a casual dress code, adjustable sit / stand desks, and free snacks, fruit and coffee. As an added bonus, we close every Friday at 3 p.m.
Our Culture
At Brokers International, our thriving, positive workplace culture helps drive our workforce and encourages overall employee wellbeing. We strive for an environment of inclusion while celebrating the individual creative differences embodied by all of our employees. If you want to be part of an innovative team dedicated to helping financial professionals build stronger businesses through tailored product sales, marketing, compliance and operational support, look no further.
About Integrity
Integrity is one of the nations leading independent distributors of life, health and wealth insurance products with a data and technology focus. We are an omnichannel insurtech company innovating insurance with a singular purpose: to help people protect their life, health and wealth so they can make the most of what life brings. Headquartered in Dallas, Texas, Integrity is committed to making insurance simpler and more human, so everyone can plan for the good days ahead. Integritys 5,500 employees currently support over 420,000 independent agents who serve the needs of more than 2.2 million clients annually. For more information, visit
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