Compliance Analyst

4 weeks ago

Summit, New Jersey, United States Simplicity Group Holdings Full time
Job Overview

As a Compliance Analyst at Simplicity Group Holdings, you will play a critical role in ensuring the company's compliance with regulatory requirements and industry standards. This position requires a strong understanding of financial services regulations and a keen eye for detail.

Key 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

Requirements:

  • 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

What We Offer:

  • Base salary: $75,000 - $85,000, based on experience
  • Performance bonus target: 10%
  • Employee benefits (health, 401k, life, etc.)
  • Paid Time Off
  • Paid Parking

This is a full-time, M-F, in-office position located in Summit, NJ. Travel requirements are limited.

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