Department: Compliance

Position Title: Compliance Analyst/Licensing and Contracting

Reports to: Director of Compliance, Simplicity Group

Summary:  The Compliance Analyst will assist the Director of Compliance in the development, direction and implementation of company-wide policies and procedures. This position requires someone with a compliance background and an interest in obtaining deeper knowledge and additional compliance experience related to a RIA and the insurance industry.

 Primary Responsibilities:

· Lead the Licensing and Contracting function for Simplicity firms

· Assist in maintaining required books and records

· Advise on compliance issues and assist Simplicity in development of procedures

· Support compliance functions such as recordkeeping and communications within the organization

· Support new business/suitability requirements

· Stay abreast of regulatory and legal developments and communicates current state of legislative issues to management 

· Assist with regulatory and compliance training

· Partner with Director of Compliance to address compliance requirements with subsidiaries

Qualifications:

· Bachelor’s Degree or comparable experience

· 3 years’ experience in compliance or similar role

· Understanding of RIA or BD compliance and the related legislative, regulatory, distribution requirements associated with them

· Experience within a financial institution in a licensing and contracting role or similar.

· Preferred licenses - Series 6/650 (not required)

· Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures

· Ability to anticipate, monitor, and supervise compliance risks

· Proficiency with Microsoft Office and Google Suite

Core Competencies:

· Creative problem-solver

· Proven strategic decision-making ability

· Thrives in a highly dynamic, fast-paced environment, within tight deadlines while quickly shifting priorities, serving multiple customers and managing multiple assignments

· Demonstrated leadership and a self-starter

· Collaborative team player

· Able to balance the needs of the business within regulatory parameters

· Outstanding and consistent communication skills

· Ability to effectively partner with business clients by anticipating business needs and working toward success in a productive/timely manner within scope of responsibility

· Strong written and verbal communication skills

· Demonstrated strong relationship management skills with both internal and external partners, clients

· Demonstrates ability to use sound judgement and discretion regarding confidential information

 Compensation:

· Base salary: $75,000 - $85,000, based on experience

· Performance bonus target: 10%

· Employee benefits (health, 401k, life, etc.)

· Paid Time Off

· Paid Parking

Location : Summit, NJ; this is a full-time, M-F, in-office position

Travel Requirements : Limited