Email Opening Title FINRA Compliance Analyst  Description Monitors and evaluates developments in SEC and FINRA regulations in order to mitigate the risk of legal or regulatory sanctions, financial loss, or damage to reputation and franchise value from failing to comply with laws, regulations, standards of conduct and policies for the Retirement Services product area. Conducts required internal regulatory examinations including, but not limited to, on-site branch audits to verify and document compliance.Implements and conducts various monitoring and testing to ensure adherence to regulatory and internal requirements.Monitors registered representative email to confirm established procedures are met including ad hoc monitoring in conjunction with investigations. Identifies potential non-compliance practices, makes determination on necessary action and implements to ensure compliance. Acts in an advisory capacity to support the creation and maintenance of legally required documentation, and books and records of the broker/dealer. Monitors proposed, adopted and amended rules and regulations to guide appropriate compliance activities.Keeps abreast of industry best practices and evolving trends by monitoring related publications and websites. Ensures relevant changes are communicated timely to affected parties. Reviews accounts submitted by sales to ensure accurate client information upon account setup.Reviews compliance materials sent to sales and clients from Corporate Distribution Center to verify materials are current and accurate. Ensures representatives are using only the most current pieces and discarding outdated materials. Makes recommendations to management regarding development of policies and procedures to identify and implement processing efficiencies.Provides subject matter expertise regarding new product development and enhancement activities to ensure compliance. Acts in a Principal capacity for required regulatory signoffs in accordance with SEC and FINRA standards.Reviews sales presentations, seminar invitations, marketing and training materials, etc. prior to use to ensure accuracy and proper retention of these materials. Responds to queries from internal partners and external sources to provide consistent response and determine where additional education or communication may be required.Responds to FINRA inquiry letters and customer complaints by conducting further investigation, gathering information and composing response letters. Copies, tracks and files all appropriate documentation in accordance with applicable regulations. Supports all regulatory requirements for registered persons including FINRA and state registration and maintenance. Tracks appropriate/required information on tracking systems. Ensures registered representatives are aware of their requirements for continuing education, trainings and Annual Compliance Meetings. Provides input on areas needed for training and completes the Needs Analysis annually. Provides back up and support to other Compliance personnel for business continuity and customer support purposes.   Position Requirements Associate's Degree - Preferred 3 years of experience in broker/dealer compliance experience. 1 year of experience in Supervisory Principal experience in a Broker/Dealer. Seeking candidates who have or have had their 6/7, 26/24 & 63/66 licenses.   Category Risk Management   Location(s) AZ, Phoenix, Phoenix Office, AZ, Tempe, Tempe Office, AZ, Tucson, Tucson Sales Territory, NM, Albuquerque, Albuquerque Service Center, NV, Las Vegas, Las Vegas Sales Office, NV, Reno, Reno Sales Office, TX, Austin, Oasis Austin Office, TX, Houston, Houston Sales Office, TX, Irving, Dallas Office, TX, San Antonio, Austin Sales Office, UT, Provo, Oasis Provo Office, UT, South Jordan, Salt Lake City Sales Territory, WA, Renton, Seattle Sales Office, WI, Brookfield, Milwaukee Sales Territory, WI, Madison, Madison Sales Office   Full-Time/Part-Time Full-Time   Req Number RIS-21-00077   Open Date 9/17/2021   Hiring Manager(s) Christine Wiley   This position is currently not accepting applications. To search for an open position, please go to http://AdvancePartners.appone.com WE ALSO RECOMMEND Other Jobs Within Same Category -- None found -- Other Jobs Within 60 Miles -- None found --