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Compliance Analyst, Retail Local Compliance

Company: Advisor Group
Location: Lexington
Posted on: November 25, 2022

Job Description:

Current Employees and Contractors Apply HereAdvisor Group CareersBe a part of the team behind our success! At Advisor Group, we support financial professionals nationwide, the people who help everyday Americans achieve their dreams. We're a billion-dollar business with the mentality and drive of a startup. Join us in building something special.Retail Local Compliance Opportunity in Financial Services Compliance Analyst - Woodbury Financial
Preferred Location: 7755 Third Street North, Oakdale, MN 55128Qualified candidates in all locations and 100% remote encouraged to apply. Summary: We are seeking highly motivated and action-oriented Compliance Analyst to add to the team within Woodbury Financial, a member of Advisor Group. This Compliance Analyst is responsible for assisting the Chief Compliance Officer in providing guidance and a high level of service to our financial professionals, and home office partners and contributes to the execution and effectiveness of the Firm's Compliance Program.This Compliance Analyst position reports to the Chief Compliance Officer and works closely with other local and network departments including Supervision, Recruiting, Legal and Operations. This Compliance Analyst role supports a territory of field managers and their financial professionals for its responsibilities.Responsibilities:

  • Provide general compliance guidance and support to financial professionals, their staff, field managers and home office partners through phone, email and Salesforce requests.
  • Conduct research and gather information for referrals and requests received.
  • Gather relevant documentation for document requests received from various departments.
  • Monitor completion of annual compliance requirements.
  • Participate in special projects and/or additional duties, as needed.Education Requirements:
    • Bachelor's degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.Basic Requirements:
      • Minimum of three years of industry experience with a broker/dealer or similar, preferably in compliance or supervision.
      • FINRA Series 7 is required. Additional licenses and / or willingness to obtain licenses preferred.
      • Knowledge of the retail broker-dealer business and investment products including but not limited to mutual funds, variable annuities, alternative investments, stocks and bonds.
      • Awareness of current industry rules and regulations and regulatory initiatives.
      • Ability to work independently.
      • Excellent verbal and written communication skills.
      • Ability to prioritize in a multi-task dynamic environment to meet deadlines.
      • Ability to analyze complex compliance issues and provide recommendations and solutions within the firm's policies and procedures.
      • Detail oriented with a superior focus on customer service and flexibility.
      • Proficient with Office applications (Microsoft Word, Excel, Outlook, Teams).
      • Ability to learn quickly and become proficient with the Firm's internal systems.Preferred Requirements:
        • Additional FINRA licensing (Series 24, Series 63, Series 65, Series 66) preferred.Current Employees and Contractors Apply Here

Keywords: Advisor Group, Lexington , Compliance Analyst, Retail Local Compliance, Professions , Lexington, Kentucky

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