Senior Analyst

PRIMARY FUNCTION:  Support the Director of Market Conduct and Compliance in accomplishing goals and objectives aimed at ensuring Firm policies and procedures adequately address regulatory requirements by providing training, guidance, and oversight of Home Office Business Areas and to Field associates.Develop and delivery of Compliance focused training for Home Office Business Areas and Field associates.Evaluate Firm policies and procedures aimed at ensuring compliance with regulatory requirements.  This will be accomplished through oversight as well as the review/testing of policies/procedures, analysis of any resultant findings, making recommendations regarding changes and monitoring the progress of changes with business owners as needed.

 PRINCIPAL RESPONSIBILITIES: 

 

 Training and Education

 

o Develop presentations, articles, and communications to support training and educational efforts of the department

§ Research relevant information

§ Organize into concise package for delivery

§ Delivery presentations to associates as requested

o Firm Element Of Continuing Education (FINRA)

§ Evaluate courses for inclusion in requirements

§ Support the Director in development of the annual Needs Analysis and Training PlanMonitoring and Testing

 

o Conduct the review, testing and evaluation of the firm’s policies and procedures to ensure compliance with regulatory requirements

o Develop, communicate, and track testing results.

o Recommend remediation plans by written and verbal reporting to the applicable leaders and or associates.

o Monitor progress of recommended remediation for all findings during oversight process.

 COMPETENCIES:

· Strong written and verbal communication skills – relays information effectively and communicates well in presenting training programs to diverse groups of individuals

· Research and analysis – ability to analyze policies, procedures and sales practices to identify trends and develop recommendations; ability to research, plan, supervise various market conduct and compliance assignments

· Demonstrated ability to oversee/manage projects across departments

· Demonstrated problem solving ability

· Advanced knowledge of regulatory framework of the insurance and securities industries

· Willingness to take on increased responsibility and cross train within the department

 MAJOR QUALIFICATIONS

 

· Bachelor’s degree or equivalent work experience

· Must have a minimum of 5 years related experience in compliance or audit role

· FINRA Registrations:Series 7 license requiredSeries 24 license required

· Insurance license preferred but not required