Compliance Senior Analyst – Client Interactions

Our Firm

American Century Investments® is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, the firm’s 1,400 employees serve financial professionals, institutions, corporations, and individual investors, offering a wide range of investment strategies across a variety of investment disciplines.

We are committed to providing institutional-quality, actively managed solutions with a performance-centered mindset. Our expertise spans global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives, and ETFs.

Privately controlled and independent, we focus solely on investment management. This empowers us to align our decisions with client expectations and concentrate on their long-term money management needs.

Our culture of winning behaviors exemplifies our dedication to clients every single day. Delivering investment results enables us to distribute over 40% of our dividends—more than $1.8 billion — to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization with a controlling interest in American Century Investments. Our dividend payments provide ongoing financial support for the Institute’s work of uncovering the causes, treatments, and prevention of life-threatening diseases, like cancer.

For more information, please visit americancentury.com.

Job Description

The primary responsibility of the Compliance Senior Analyst is to assist in supporting the broker-dealer and transfer agency compliance efforts. In this role, you are an integral part of the Compliance team that is responsible for facilitating American Century’s conformance with SEC, FINRA, MSRB and state regulations as it pertains to the company’s sales, marketing and transfer agency activities. You will assist in the oversight of regulatory processes, in the implementation of new regulatory and compliance requirements and conducting reviews to determine adherence to policies and procedures. The senior analyst works under the guidance of compliance consultants and the supervision of management.

Major Responsibilities:

• Assist in conducting research, analysis and preparation of required FINRA and state regulatory filings such as licensing and registration and all applicable amendments.

• Conduct onboarding of new employees requiring FINRA and state licensing.

• Manage and monitor timely completion of regulatory filings.

• Participate in conducting compliance reviews and branch inspections to identify regulatory risk exposure and compliance with firm policies/procedures and regulatory rules. Prepare and report findings.

• Assist in firm Annual Compliance Meeting training to registered representatives; coordinate delivery and completion.

• You will conduct training on regulatory matters and compliance processes in a small group setting.

• Review and update policies and procedures periodically, or as needed.

• Deliver and track compliance oversight of processes such as quarterly certifications, acknowledgments and compliance training.

• Monitor daily and monthly reporting to ensure accurate updates to internal and regulatory systems.

• Research and recommend action for proposed outside activities.

• Assist in the coordination of required continuing education program for registered representatives.

• Perform other duties and special projects as assigned.

Distinguishing Characteristics:

• Develop good working relationships with internal business partners.

• Recognize and handle sensitive issues with tact and discretion.

• Interpret, understand and apply rules and regulations applicable to SEC, FINRA and MSRB compliance.

• Understand internal policies and procedures and apply them to identify exceptions; use judgment appropriately.

• Learn and use compliance software tools, such as ACA ComplianceAlpha and Global Relay, to conduct compliance activities and improve productivity.

• Highly motivated, organized, detailed and results oriented; with validated ability to prioritize multiple projects and tasks with overlapping and, at times, inflexible deadlines.

• Strong analytical reasoning, critical thinking, risk assessment abilities and problem-solving skills.

• Develop core skills and knowledge through independent learning.

• Effectively present on regulatory matters and conduct training to small groups.

• Collaborative within a team, have strong work ethic, and demo