Analyst II - Ally Invest Compliance

Ally Financial • Charlotte, NC

2d • $55,000 - $95,000 • Onsite

About The Position

Do you enjoy tackling new challenges every day? If you enjoy a fast-paced environment and working in a close-knit team, then this is the right opportunity for you! The Invest Compliance Analyst II is an integral part of the Ally Invest business line compliance team. As part of this team, the candidate will proactively identify pain points and gaps in existing policy and procedure frameworks and work with business teams to identify solutions. The Invest Compliance Analyst II will also help develop compliance oversight metrics and guardrails to measure compliance program quality within the organization. At this time, Ally will not sponsor a new applicant for employment authorization for this position.

Requirements

• Associates or Bachelor's degree strongly preferred.
• 1+ years in compliance or security industry related experience.
• FINRA Series 7 is required.
• Excellent oral and written communication skills.
• Capable of prioritizing tasks and meeting deadlines in a fast-paced setting.
• Proactive attitude in problem identification and solution.
• Proficiency in Microsoft Word and Excel.
• Optimistic, embraces possibilities, encouraging and motivating, recognizes change as crafting opportunities.
• Exhibit a strong work ethic and high degree of self-motivation.

Nice To Haves

• FINRA Series 24 is preferred (must be willing to sit for license if not already acquired).

Responsibilities

• Prepares and completes forms for regulatory requirements as needed, including drafting accurate and sufficient narratives.
• Process inquiries received through FINRA, SEC, BBB, CFPB, and through the course of normally conducted business.
• Help administer and document Firm Continuing Education Plan including assisting with preparation for Annual Compliance Meetings.
• Conduct continuous monitoring reviews including but not limited to performing analyses and providing credible challenge on firm processes based on regulatory guidance.
• Assist with background review, onboarding and offboarding of associated persons, including the timely filing of regulatory forms.
• Perform important compliance tasks and deals with matters typically involving documentation, reporting, issue and incident management, etc.
• Ensure inventory of controls is maintained and any new controls are captured and documented.
• Assist in interpreting and administering operational policies and procedures.
• Coordinate the involvement of Ally stakeholders as necessary.
• Develop, validate and maintain step-by-step department instructions/training materials.
• Miscellaneous duties as assigned.

Benefits

• Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals.
• Our Total Rewards program includes industry-leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and your life, including:
• Time Away: Program starts at 20 paid time off days in addition to 11 paid holidays and 8 hours of volunteer time off yearly (time off days are prorated based on start date and program varies based on full or part-time status and management level).
• Planning for the Future: plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan pay downs and 529 educational save up assistance programs, tuition reimbursement, employee stock purchase plan, and financial learning center and financial coach access.
• Supporting your Health & Well-being: flexible health and insurance options including medical, dental and vision, employee, spouse and child life insurance, short- and long-term disability, pre-tax Health Savings Account with employer contributions, Healthcare FSA, critical illness, accident & hospital indemnity insurance, and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.
• Building a Family: adoption, surrogacy and fertility assistance as well as paid parental and caregiver leave, Dependent Day Care FSA back-up child and adult/elder care days and childcare discounts.
• Work-Life Integration: other benefits including Mentally Fit Employee Assistance Program, subsidized and discounted Weight Watchers® program and other employee discount programs.
• Other compensations: depending on the role for which you are considered, you may be eligible for travel allowances, relocation assistance, a signing bonus and/or equity.

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Education Level: Associate degree
• Number of Employees: 5,001-10,000 employees