Compliance Analyst, Retail Local Compliance

Retail Local Compliance Opportunity in Financial Services

Compliance Analyst - Woodbury Financial


Preferred Location:     7755 Third Street North, Oakdale, MN  55128

Qualified candidates in all locations and 100% remote encouraged to apply.

Summary:

We are seeking highly motivated and action-oriented Compliance Analyst to add to the team within Woodbury Financial, a member of Advisor Group.  This Compliance Analyst is responsible for assisting the Chief Compliance Officer in providing guidance and a high level of service to our financial professionals, and home office partners and contributes to the execution and effectiveness of the Firm’s Compliance Program.

This Compliance Analyst position reports to the Chief Compliance Officer and works closely with other local and network departments including Supervision, Recruiting, Legal and Operations. This Compliance Analyst role supports a territory of field managers and their financial professionals for its responsibilities.

Responsibilities:

  • Provide general compliance guidance and support to financial professionals, their staff, field managers and home office partners through phone, email and Salesforce requests.
  • Conduct research and gather information for referrals and requests received.
  • Gather relevant documentation for document requests received from various departments.
  • Monitor completion of annual compliance requirements.
  • Participate in special projects and/or additional duties, as needed.

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:

  • Minimum of three years of industry experience with a broker/dealer or similar, preferably in compliance or supervision.  
  • FINRA Series 7 is required. Additional licenses and / or willingness to obtain licenses preferred.
  • Knowledge of the retail broker-dealer business and investment products including but not limited to mutual funds, variable annuities, alternative investments, stocks and bonds.
  • Awareness of current industry rules and regulations and regulatory initiatives.
  • Ability to work independently.
  • Excellent verbal and written communication skills.
  • Ability to prioritize in a multi-task dynamic environment to meet deadlines.
  • Ability to analyze complex compliance issues and provide recommendations and solutions within the firm’s policies and procedures.
  • Detail oriented with a superior focus on customer service and flexibility.
  • Proficient with Office applications (Microsoft Word, Excel, Outlook, Teams).
  • Ability to learn quickly and become proficient with the Firm’s internal systems.

Preferred Requirements:

  • Additional FINRA licensing (Series 24, Series 63, Series 65, Series 66) preferred.
Be A Part Of The Team Behind Our Success!

At Advisor Group, we support financial professionals across the nation, 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.

Equal Opportunity Employer

Advisor Group is an equal opportunity employer. We celebrate diversity in our workplace and we hire the most qualified candidates without regard for age, ethnicity, gender, gender identity or expression, language differences, nationality or national origin, family or marital status, physical, mental, and developmental abilities (or the perception of a disability), genetic information, race, religion or belief, sexual orientation, skin color, social or economic class, education, work and behavioral styles, political affiliation, military service, caste, or any other characteristic protected by law.

Eligibility

Applicants for employment in the US must have valid work authorization that does not now and/or will not in the future require sponsorship of a visa for employment authorization in the US by Advisor Group.

Unqualified Applications

Advisor Group does not consider applications from candidates who do not meet the minimum qualifications stated in the job posting.

Recruiting Agencies

Advisor Group only accepts candidates from contracted recruiting firms and only for searches approved prior to submissions. Fees will not be paid for unsolicited submissions.