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