Compliance Analyst - Securities Entities

Western & Southern Financial Group•Cincinnati, OH

2d•Onsite

About The Position

Under the direction of the Chief Compliance Officer or delegate, this position manages, supports, and provides oversight and monitoring of internal controls, compliance, and operational functions for the Securities Entities of Western & Southern Financial Group. The role may also assist senior staff in preparing regulatory filings, responding to regulatory inquiries, and handling customer complaints. The primary focus is to ensure quality assurance processes are managed and regulatory risks are sufficiently mitigated in a timely manner. This position manages multiple deadlines and is responsible for making an established range of decisions, escalating to a Manager when necessary, and works autonomously with limited daily supervision.

Requirements

Typically requires up to 2 years of relevant experience.
Demonstrated experience coordinating multiple, complex projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis.
Must demonstrate strong attention to detail with excellent organization skills.
Expected to cite examples of organization and time management /methods used to manage or prioritize workload demands.
Must demonstrate project management experience in planning, executing, escalating issues and maintaining a project from start to finish.
Demonstrated experience working effectively within a team.
Demonstrated experience driving results through the exercise of influence on peers and/or more senior associates.
Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation. Must cite examples of organization skills.
Demonstrated ability to maintain a calm and professional demeanor associated with large workloads and meeting deadlines and target dates.
Demonstrated excellent verbal and written communication and presentation skills, interpersonal and collaborative skills with experience conveying information to internal and external customers at all levels in a clear, accurate, focused and concise manner.
Proven strong quantitative and analytical skills, including demonstrated experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions to provide effective resolutions.
Proven experience with sound decision-making and critical thinking skills when dealing with multiple alternatives.
Must demonstrate the ability to conceptualize and apply new methodologies.
Knowledge of Microsoft Office applications and mainframe applications.
FINRA SIE and Series 6 within six months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within nine months of the date of hire within 180 Days.

Nice To Haves

Bachelor's Degree Or commensurate experience within financial services.
Proficient in Legal and Regulatory research applications.
FINRA Series 7, 24, 52/53, 63 and 65 or 66 Upon Hire.

Responsibilities

Assists senior staff in identifying key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing the nature of risk factors, and identifying gaps in control processes.
Tracks changes in self-regulatory organization (SRO) (i.e. FINRA), federal and state rules and regulations, identifies related policies and procedures, and updates as needed.
Provides reviews of retail communications for the firm, escalating to the manager when issues are discovered.
Conducts email reviews, escalating to the Compliance leader when issues are discovered.
Assists in the preparation of compliance training.
Assists in the preparation of exception reports on a regular basis.
Manages outside brokerage account statement review/maintenance, escalating issues to the compliance manager when discovered.
Conducts AML surveillance, review, and reporting.
Works with other Compliance associates to monitor branch supervisory turnover, assignments, and production of Form BR, assisting in the maintenance of all books and records related to this activity.
Coordinates activities and communicates with other W&SFG Compliance groups as appropriate.
Assists in ensuring applicable associates follow relevant industry rules/regulations, including specific Securities Entities' Codes of Ethics and Written Supervisory Procedures.
Performs other duties as assigned.
Complies with all policies and standards.