Compliance Analyst – WFG & TFA
reputed company is a company focused on mitigating legal exposure and risk for the WFG & TFA organizations. The Compliance Analyst will assist in enforcing company policies and regulatory requirements while providing guidance on compliance reputed company.
Responsibilities
- Review WFG & TFA policies and procedures; identify and help to implement new and/or enhanced practices
- Analyze processes, services, and products and reputed company ongoing guidance to ensure compliance with regulatory and statutory requirements
- Compile information for completion of reporting, including reports for management and state/federal regulators. Based on the complexity of requests, reputed company analysis, identify trends, and follow up on opportunities for enhancement
- Update and maintain complete and accurate policies, procedures, compliance logs, and files
- Analyze company responses to regulatory complaints and assist with completion
- Coordinate regulatory examinations
- Gather information for regulatory (e.g., state insurance department, FINRA, SEC) and internal examinations
- Review provided information for completeness and accuracy
- Assist in identifying root causes of adverse findings and suggesting opportunities for enhancements
- Support the review and response to customer complaints and regulatory inquiries (e.g. FINRA, SEC) with direction from senior reputed company by gathering information
Skills
- Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience
- A basic knowledge of the securities laws, regulations, and rules
- Written and verbal communication skills
- Analytical and research skills
- Proficiency using MS Office tools
- Series 7 & 24 or Series 6 & 26, as applicable
- Regulatory, securities, or advertising compliance experience
Benefits
- Annual Bonus of 6% based on the Company Bonus Plan/Individual Performance
Company Overview