Compliance Analyst, Regulatory Relations

Be a part of the team behind our success!  At Advisor Group, we support more than 5,000 financial advisors, the people who help everyday Americans achieve their dreams. We’re a billion-dollar business with the mentality and drive of a startup. Join us in building something special.

Compliance & Risk Opportunity in Financial Services

Regulatory Relations Compliance Analyst


Location:               20 E. Thomas Rd, Suite 2000, Phoenix, AZ  85012

Summary:

Imagine the excitement of working for a billion-dollar startup company with a strong revenue flow and a client base that goes back 60+ years.  Our employees are the “how” and the “why” of Advisor Group’s success.  Advisor Group is seeking an organized, detailed and energetic Compliance Analyst to assist/support the Compliance – Regulatory Relations team by monitoring changes to regulatory requirements and responding to regulatory examinations and inquiries.  This role presents a challenging opportunity for detail-oriented individuals that are interested in gaining experience with a broad set of technology, process controls, and regulatory frameworks to reduce risk for the company.

Keys:      compliance, analyst, regulatory relations

Responsibilities:

  • Review of regulatory inquiries and supporting examination requests
  • Maintain an ongoing relationship with Local and Network Compliance, Supervision, internal customers and the field in order to educate, guide and assist with compliance or project related issues and questions
  • Assist in the monitoring of Company compliance with state/federal law and rules and regulations by providing professional level support to all areas of Compliance and Supervision as well as other internal departments
  • Identify and implement strategies for improved processes and procedures
  • Exhibit personal and business values that complement the firm’s core values
  • Provide clear and actionable support to project teams, navigating ambiguity appropriately
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree.  Minimum of high school diploma or equivalent is required. 

Basic Requirements:

  • FINRA Series 7 required
  • Minimum of two years of Industry experience with a broker/dealer or similar, in the compliance or legal field in addition to project management experience
  • At least two years’ experience in a compliance analyst role
  • Knowledge of regulatory requirements from the FINRA and SEC as well as the ability to interpret such regulations for a general sales force is expected
  • Strong attention to detail
  • Demonstrated strong Excel skills
  • Must have excellent written and verbal communication skills and be able to perform multiple tasks while working within demanding time frames
  • Ability to operate effectively as part of a project team or individually
  • Ability to translate information and data into concise reports

Preferred Requirements:

  • FINRA Series 24 and 66/65 preferred.
  • Experience working with advanced Excel functions is a plus
  • Experience at an independent broker-dealer is preferred