Senior Analyst, Corporate Compliance

If you're passionate about being part of a diverse organization that enables a Fortune 100 company to deliver innovative business solutions with excellence, then Nationwide's Legal team could be the place for you! At Nationwide®, “on your side” goes beyond just words. Our customers are at the center of everything we do and we’re looking for associates who are passionate about delivering extraordinary care.

This position is a critical role in NF Compliance holding the responsibility of completing tasks associated with the licensing and registration functions, conflicts of interest review and surveillance oversight of the Broker Dealers and Investment Adviser representatives.  The Senior Analyst position assists all Registered Representatives of the broker dealers and registered investment advisers with securing that all regulatory requirements are met in a timely manner and will manage the review of the outside brokerage account activity for Registered Representatives.  Additionally, this position assists with activities supporting the licensing and registration and conflicts of interest reviews and completion of surveillance testing related to the activities of Registered Representatives, as well as assisting with hierarchy reporting and maintenance, departmental metrics, and helping to build strong relationships with business partners. 

We are seeking candidates with advanced technical and organizational skills, strong multitasking abilities, and keen attention to detail. Experience in reporting and reconciliation, along with excellent communication skills, is essential. Candidates with fundamental knowledge in data analytics are desired, and proficiency in tools like Power BI and Power Automate is advantageous. Familiarity with the NF business organizational structure is beneficial. While not required, holding or acquiring FINRA Series 7 and 24 licenses is preferred for this position.

Core Duties and Responsibilities:

• Performance of licensing and registration activities and conflicts of interest reviews for roughly 2,400 registered associates.
• Maintenance of the supervisory hierarchy of the broker dealers within the NF organization.
• Manages the tracking and conflicts of interest review of disclosed outside brokerage accounts by registered representative.
• Performs scheduled Surveillance Testing related to the activities of Registered Representatives and investment advisors.
• Maintains related regulatory records for accurate information relating to firm books and records and various procedures and approvals.
• Has direct interactions with regulators (i.e. FINRA, state securities division or state DOI), senior management, sales force and other internal customers. Responds to inquiries and provides detailed responses in a timely manner.

      

Job Description Summary

Are you someone who is compelled to “do the right thing” and able to make decisions to ensure regulatory and legal compliance that protects a business and its customers? If you thrive in an environment where you can tackle tricky issues and achieve business goals within the complex, highly regulated insurance industry, we want to know more about you!

We work across the enterprise to help find innovative ways to work through issues. Nationwide's culture of compliance and passion for providing extraordinary care to its customers makes the Office of Compliance & Ethics a valued partner within Nationwide.

As a Senior Analyst, you will help to ensure that business operations are conducted in compliance with regulatory and legal requirements and company policies. You’ll participate in various types of compliance reviews with business units to detect compliance related issues and help build and deliver innovative solutions.

Job Description

Key Responsibilities:

• Analyzes various regulations impacting the products and procedures of assigned product and/or functional area. Assists in development of policies and procedures and supports collaboration with our business partners to implement them.

• Clearly communicates policy changes and updates impacting compliance and responds to inquiries.

• Manages internal manuals, documentation files, and other related regulatory records to ensure that our records and resources are