Compliance Analyst, Retail Local Compliance
Company: Advisor Group
Posted on: November 25, 2022
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
- 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
- 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
- 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
- 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
- Ability to work independently.
- Excellent verbal and written communication skills.
- Ability to prioritize in a multi-task dynamic environment to
- Ability to analyze complex compliance issues and provide
recommendations and solutions within the firm's policies and
- Detail oriented with a superior focus on customer service and
- Proficient with Office applications (Microsoft Word, Excel,
- 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
Keywords: Advisor Group, Lexington , Compliance Analyst, Retail Local Compliance, Professions , Lexington, Kentucky
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