Compliance Analyst - Risk & Controls

The Risk Controls team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered.  Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry.  We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

This is a 2-3 days a week in one of the office locations listed: Dallas, TX or Des Moines, IA or St Cloud, MN or El Segundo, CA.

What you will do: 

• Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel.

• Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA

• Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs.

• Track submissions and documentation into respective firm approved tools.

• Submit and update OBA information for registered persons. 

• Primary contacts / internal partners for this position are: Broker-Dealer Compliance and Supervision Teams

What you need to have: 

• HS Degree at minimum

  • Bachelor’s degree preferable 

• 1-3 years of BD Compliance experience

• Series 7 and 24 required.

• Review and analyze OBAs from a practical, policy and regulatory framework.

• Provide accurate and thorough written documentation.

• Manage several tasks proactively.

• Work well independently as well as on a team.

• Manage workloads and help team as needed 

• Regulations and interpretive guidance

• Industry Best Practices

• Problem resolution

• Thorough analysis

• Excellent written and verbal communication 

• MS office including Excel, Word, and Outlook

• Interpersonal relations

Compensation: 

The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus.  Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations. 

#LI-Hybrid 

Salary : $59,000 - $103,000