Sr. Compliance Analyst, Retail Local Compliance

Compliance & Risk Opportunity in Financial Services

Sr. Compliance Analyst, Retail Local Compliance  


Preferred Location:     20 E. Thomas Road, Phoenix, AZ  85012

Accepting qualified candidates in all locations and 100% remote.

Summary:

We are seeking a Senior Compliance Analyst to add to the team supporting SagePoint Financial, a member of Advisor Group.  Our ideal Senior Compliance Analyst candidate is a highly motivated and action-oriented professional.  The Sr. 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.    

Responsibilities:

  • Provide general compliance guidance and support to financial professionals, their staff, field managers and home office partners.
  • Conduct affiliation reviews of financial professionals and registered/unregistered admins who are seeking to affiliate with SagePoint Financial.
  • Conduct investigations of alleged sales practice violations and violations of policies and procedures as identified or referred by various internal sources, including, but not limited to Surveillance, Branch Office Exams, Supervision and Operations.
  • Conduct research and review to respond to State, FINRA, SEC and product sponsor regulatory inquiries and exams.
  • Conduct various reviews of financial professional directed requests such as client reimbursements for errors, private securities transactions, shared office requests.
  • Participate in various projects and/or job duties, as needed and 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:

  • Minimum of three years of Industry experience with a broker/dealer or similar, in the compliance or legal field in addition to project management experience.
  • FINRA Series 7 and 24 are required. 
  • 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.
  • 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.
  • 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 preferred. 
  • Experience at an independent broker-dealer.
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.