Broker Dealer Sr. Compliance Analyst
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Please be sure to check email regularly for information regarding our employment process.
Position
Summary:
Under the direction of Compliance Director, responsible for supporting the ongoing administration of the compliance program for Resolution Life's wholly owned wholesale broker dealer, SLD America Equities, Inc.
Position Description:
Administration of Policies, Procedures, Business Continuity Plan (BCP) and Written Supervisory Procedures (WSP's).
Analyze and maintain exception reporting data and surveillance systems to fulfill supervisory and regulatory requirements in a timely manner.
Assist with regulatory reporting for the firm as required by FINRA and SEC.
Develop and deliver effective Firm Element training and other annual compliance requirements (e.
g.
Annual Compliance Meeting and Annual Compliance Questionnaire) to registered representatives and internal staff as needed.
Build and maintain understanding of regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques.
Monitor for new laws and regulations relating to the broker dealer.
Interpret policies and procedures for registered representatives.
Participate in the obtaining of information and records in response to regulatory exams.
Manage assigned tasks relating to 3120 testing and/or branch inspections.
Primary contact for forms administration.
Other duties and projects as assigned to support the Enterprise Compliance team or other Compliance teams.
Preferred Knowledge &
Experience:
Preferred five years relevant experience in broker dealer compliance role, preferably with a wholesale (non-retail) broker dealer.
Knowledge and understanding of laws and regulations applicable to a broker dealer.
Knowledge and understanding of life insurance and annuities operations.
Effective verbal and written communication skills.
Effective organizational skills.
Flexibility to adapt and able to handle and manage multiple assignments while working independently; self-motivated.
Strong individual contributor that is comfortable working in a remote environment/work from home Ability to manage complex matters under tight deadlines while maintaining accuracy and minimizing risk to the company.
Demonstrated solution oriented approach (e.
g.
working towards solutions versus only problem identification).
Consistently demonstrates an ability to work across other lines of business and/or departments for Continuous Improvement opportunities.
Intermediate to advanced skills in the use of Microsoft Office products (e.
g.
, Word, PowerPoint, Excel, Access) and Adobe Acrobat Professional.
Occasional travel may be required.
Series 6, Series 26 and/or Series 7 and Series 24.
Location:
Remote in EST or CST Time Zones.
New York City - For roles being performed in New York City, Resolution Life is required to include a reasonable estimate of the base salary for the role.
This base salary range takes into account the wide range of factors that are considered in making base salary decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
The range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled.
At Resolution Life, it is not typical for an individual to be hired at or near the top of the range for their role, allowing for future salary growth, and compensation decisions are dependent on the facts and circumstances of each case.
A reasonable estimate of the current range is $85,200 to $127,900.
#LI-Remote Critical Skills At Resolution Life, we have identified the following critical skills which are key to success in our culture:
Customer Focused:
Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Critical Thinking:
Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
Team Mentality:
Partnering effectively to drive our culture and execute on our common goals.
Business Acumen:
Appreciation and understanding of the financial services industry in order to make sound business decisions.
Learning Agility:
Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
Recommended Skills Administration Adobe Acrobat Agility Business Continuity Planning Business Process Improvement Commercial Awareness Estimated Salary: $20 to $28 per hour based on qualifications.
Please be sure to check email regularly for information regarding our employment process.
Position
Summary:
Under the direction of Compliance Director, responsible for supporting the ongoing administration of the compliance program for Resolution Life's wholly owned wholesale broker dealer, SLD America Equities, Inc.
Position Description:
Administration of Policies, Procedures, Business Continuity Plan (BCP) and Written Supervisory Procedures (WSP's).
Analyze and maintain exception reporting data and surveillance systems to fulfill supervisory and regulatory requirements in a timely manner.
Assist with regulatory reporting for the firm as required by FINRA and SEC.
Develop and deliver effective Firm Element training and other annual compliance requirements (e.
g.
Annual Compliance Meeting and Annual Compliance Questionnaire) to registered representatives and internal staff as needed.
Build and maintain understanding of regulatory environment, relevant rules and regulations, technologies and systems, processes and operational methodologies, investigative and examination techniques.
Monitor for new laws and regulations relating to the broker dealer.
Interpret policies and procedures for registered representatives.
Participate in the obtaining of information and records in response to regulatory exams.
Manage assigned tasks relating to 3120 testing and/or branch inspections.
Primary contact for forms administration.
Other duties and projects as assigned to support the Enterprise Compliance team or other Compliance teams.
Preferred Knowledge &
Experience:
Preferred five years relevant experience in broker dealer compliance role, preferably with a wholesale (non-retail) broker dealer.
Knowledge and understanding of laws and regulations applicable to a broker dealer.
Knowledge and understanding of life insurance and annuities operations.
Effective verbal and written communication skills.
Effective organizational skills.
Flexibility to adapt and able to handle and manage multiple assignments while working independently; self-motivated.
Strong individual contributor that is comfortable working in a remote environment/work from home Ability to manage complex matters under tight deadlines while maintaining accuracy and minimizing risk to the company.
Demonstrated solution oriented approach (e.
g.
working towards solutions versus only problem identification).
Consistently demonstrates an ability to work across other lines of business and/or departments for Continuous Improvement opportunities.
Intermediate to advanced skills in the use of Microsoft Office products (e.
g.
, Word, PowerPoint, Excel, Access) and Adobe Acrobat Professional.
Occasional travel may be required.
Series 6, Series 26 and/or Series 7 and Series 24.
Location:
Remote in EST or CST Time Zones.
New York City - For roles being performed in New York City, Resolution Life is required to include a reasonable estimate of the base salary for the role.
This base salary range takes into account the wide range of factors that are considered in making base salary decisions including but not limited to skill sets; experience and training; licensure and certifications; and other business and organizational needs.
The range estimate has not been adjusted for the applicable geographic differential associated with the location at which the position may be filled.
At Resolution Life, it is not typical for an individual to be hired at or near the top of the range for their role, allowing for future salary growth, and compensation decisions are dependent on the facts and circumstances of each case.
A reasonable estimate of the current range is $85,200 to $127,900.
#LI-Remote Critical Skills At Resolution Life, we have identified the following critical skills which are key to success in our culture:
Customer Focused:
Passionate drive to delight our customers and offer unique solutions that deliver on their expectations.
Critical Thinking:
Thoughtful process of analyzing data and problem solving data to reach a well-reasoned solution.
Team Mentality:
Partnering effectively to drive our culture and execute on our common goals.
Business Acumen:
Appreciation and understanding of the financial services industry in order to make sound business decisions.
Learning Agility:
Openness to new ways of thinking and acquiring new skills to retain a competitive advantage.
Recommended Skills Administration Adobe Acrobat Agility Business Continuity Planning Business Process Improvement Commercial Awareness Estimated Salary: $20 to $28 per hour based on qualifications.
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