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Compliance Analyst

1 month ago

Irving, Texas, United States Resolute Investment Managers (parent company of American Beacon Advisors) Full time
Job Description:

The Marketing Review Analyst, Compliance is responsible for implementing procedures and controls for Resolute Investment Distributors, Inc. and American Beacon Advisors, Inc. to ensure compliance with applicable regulatory requirements of the U.S. Securities and Exchange Commission, Financial Industry Regulatory Authority, Commodity Futures Trading Commission, and other applicable regulatory agencies.

Key Responsibilities:
  • Assist the Broker Dealer, CCO in developing compliance policies and procedures to ensure the organization's activities comply with all pertinent legal and regulatory requirements
  • Proofread and review marketing materials to ensure compliance with applicable regulatory requirements
  • Assist with FINRA registration requirements for the broker dealer and its registered representatives
  • Maintain accurate and complete books and records
  • Conduct testing to monitor compliance with established procedures
  • Review mutual fund disclosure documents for consistency with regulatory requirements
  • Under the direct supervision of the Broker Dealer, CCO, provide compliance support to registered representatives
  • Participate in assessments of new rules and regulations
  • Participate in special projects, such as the evaluation and implementation of new technology, and compliance analyses of proposed new investment products
Requirements:
  • Bachelor's degree or commensurate work experience
  • At least two years of experience at a broker-dealer, investment adviser or regulatory agency preferred
  • FINRA License Series 7 and 63 preferred (Required within 6 months of hire if not already obtained)
  • Working knowledge of the federal securities laws as they apply to broker-dealers preferred
  • Exceptional proofreading skills and attention to detail
  • Excellent organizational skills