Senior Compliance Analyst - Securities Entities

Overview

Assists in the management of the day-to-day compliance functions for the for the Securities Entities of Western & Southern Financial Group (W&SFG). Under the direction of the Chief Compliance Officer (CCO), or other Compliance leader, manages, supports and provides compliance oversight and monitoring of the Firm's internal control, compliance, risk management and operational functions. Assists the CCO in managing business risks by establishing and conducting proactive surveillance, testing, and monitoring of compliance, risk management, investment and operational-related matters. The primary focus of this position is to ensure compliance related investment and quality assurance processes are managed and regulated, and client risks are sufficiently mitigated in a timely manner. Manages multiple deadlines, works with minimal supervision and is responsible for making a broad range of decisions, escalating to senior management when necessary. Works in an autonomous fashion with limited daily supervision.

Responsibilities

What you will do:

• Identifies key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes and advising and, as applicable, instituting solutions or controls to mitigate risk.
• Tracks changes in self-regulatory organization (SRO) (i.e. FINRA), federal and state rules and regulations, identifies related policies and procedures, and updates as needed; this includes revising or writing the policy, notifying the appropriate parties and providing any necessary training.
• Manages the retail communications review process including maintenance of the social media policy and training.
• Provides email review oversight, escalating to the Compliance leader when issues are discovered.
• Conducts field audits.
• Works with Compliance leader to conduct annual broker-dealer audits to meet regulatory requirements.
• Assists in the preparation and presentation of compliance training.
• Conducts monthly surveillance of sales transactions, reviewing accounts for various transaction violations and commission manipulation.
• Prepares exception reports on a regular basis. Works with areas to ensure appropriate documentation and necessity for exceptions.
• Conducts FinCEN/OFAC and other AML surveillance activities, to include by not limited to review, reporting, and filing of Suspicious Activity Reports.
• Supports the overall compliance needs of the firm’s financial representatives.
• Coordinates activities and communicates with other W&SFG Compliance groups as appropriate.
• Acts as a liaison between the department and the Securities Entities other subsidiaries and affiliates.
• Ensures applicable associates follow relevant industry rules/regulations, including specific Securities Entities' Codes of Ethics and Written Supervisory Procedures.

Qualifications

• Bachelor's Degree Or commensurate experience within financial services. - Required
• Advanced business, law or operations degree desirable. - Preferred
• Typically requires 4 to 4 years of relevant experience. - Required
• Proven experience conducting compliance assessments and writing policies and procedures. - Required
• Demonstrated experience coordinating multiple, complex projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis. Must demonstrate strong attention to detail with excellent organization skills. Expected to cite examples of organization and time management /methods used to manage or prioritize workload demands. Must demonstrate project management experience in planning, executing, escalating issues and maintaining a project from start to finish. - Required
• Demonstrated experience working effectively within a team. - Required
• Demonstrated experience driving results through the exercise of influence on peers and/or more senior associates. - Required
• Demonstrated knowledge of FINRA, SEC and MSRB rules and regulations. Required
• Demonstrated thorough knowledge of the insurance, securities and investment advisory industry. Required
• Proven ability to accurately interpret and apply applicable laws, regulations and policies. Required
• Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation. Must cite examples of organization skills. Required
• Demonstrated ability to maintain a calm and professional demeanor associated with large workloads and meeting deadlines and target dates Required
• Demonstrated excellent verbal and written communication and presentation skills, interpersonal and collaborat