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Senior Compliance Analyst, Retail Local Compliance Specialist

2 months ago

MagstattleBas, Grand Est, United States Advisor Group Full time

**Job Summary:**

We are seeking a highly motivated and action-oriented Senior Compliance Analyst to join our team at Advisor Group. As a key member of our compliance team, you will provide guidance and support to our financial professionals, home office partners, and contribute to the execution and effectiveness of our compliance program.

**Key Responsibilities:**

  • Provide general compliance guidance and support to financial professionals, their staff, field managers, and home office partners.
  • Conduct affiliation reviews of financial professionals and registered/unregistered admins seeking to affiliate with Advisor Group.
  • Conduct investigations of alleged sales practice violations and violations of policies and procedures.
  • Conduct research and review to respond to State, FINRA, SEC, and product sponsor regulatory inquiries and exams.
  • Conduct various reviews of financial professional-directed requests, such as client reimbursements for errors, private securities transactions, shared office requests.
  • Participate in various projects and/or job duties, as needed and assigned.

**Requirements:**

  • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.
  • Minimum of three years of industry experience with a broker/dealer or similar, in the compliance or legal field, including project management experience.
  • FINRA Series 7 and 24 are required.
  • Ability to work independently.
  • Excellent verbal and written communication skills.
  • Ability to prioritize in a multi-task dynamic environment to meet deadlines.
  • Ability to analyze complex compliance issues and provide recommendations and solutions.
  • Knowledge of the retail broker-dealer business and investment products, including mutual funds, variable annuities, alternative investments, stocks, and bonds.
  • Awareness of current industry rules and regulations and regulatory initiatives.
  • Detail-oriented with a superior focus on customer service and flexibility.
  • Proficient with Office applications (Microsoft Word, Excel, Outlook, Teams).
  • Ability to learn quickly and become proficient with the Firm's internal systems.

**Preferred Requirements:**

  • Additional FINRA licensing preferred.
  • Experience at an independent broker-dealer.

**About Advisor Group:**

Advisor Group is a leading financial services company that supports financial professionals across the nation. We are a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

**Equal Opportunity Employer:**

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.