A highly successful and well-established Investment Life Insurance Company is looking to bring on a Senior Compliance Analyst to provide regulatory compliance support for the firms broker-dealer operations. A successful candidate in this role will have a broad knowledge and experience within compliance and compliance related topics including controls and privacy & risk management. You will be responsible for maintaining an effective compliance risk control environment that enables the firms broker dealer activities. If compliance is your strong suit and you want to continue to grow your career in the field, apply now!
The Senior Compliance Analyst will be responsible for…
- Assisting in the development and deployment of FINRA training for new hires
- Developing, implementing, and assessing the firms AML/OFAC program
- Maintains the Annual Compliance Certification process
- Assists in the design and operation of compliance testing
The Senior Compliance Analyst must have the following qualifications:
- 4-year Undergraduate Degree
- 5+ years of regulatory compliance experience
- Experience and knowledge of FINRA, SEC, state securities and firm-specific rules and regulations relating to broker-dealers
- Series 7 or SIE required, or be willing to complete certification
- Remote role
- Premier benefits
- Generous compensation
If you are interested in the Senior Compliance Analyst position, please apply now!