Sr. Compliance Analyst

Be a part of the team behind our success!  At Advisor Group, we support more than 7,000 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

Senior Compliance Analyst


Location:          10 Exchange Place, Suite 1410, Jersey City, NJ  07302

Summary:

At Advisor Group, we are driven to do more.  We are one of the largest networks of independent wealth management firms in the United States.  The four individual firms that comprise Advisor Group – FSC Securities Corporation, Royal Alliance Associates, SagePoint Financial, and Woodbury Financial Services foster the spirit of entrepreneurship and independence that our more than 7,000 advisors exemplify.  Our employees are the “how” and the “why” of Advisor Group’s success.  Advisor Group is seeking a driven and motivated individual to join our Compliance Team.

In this fast-paced environment, you will assist with regulatory/business-related matters, compliance risk assessments, compliance governance, preparation of disciplinary action cases for the firm’s Executive Review Committee and keeping a strict adherence of confidentiality to all matters that are handled by the department.

The Senior Analyst will regularly communicate with Federal and State regulators, fellow employees (Legal, Supervision, Operations, Licensing, Examiners) and Financial Advisors regarding regulatory/business-related matters such as regulatory inquiries, outside business activities, continuing education, general firm policy and procedures, and issues or findings.

Keys:    Compliance Risk Analyst, Regulatory/business-related    

Responsibilities:

  • Perform review of employee and Financial Advisor new hires
  • Prepare disciplinary cases for the Executive Review Committee and execute decisions coming out of the committee
  • Perform various reviews on reports issued by Supervision and other areas of the firm for their adherence procedures
  • Periodic reporting to management covering open issues
  • All other duties as assigned

Education Requirements:

  • Bachelor’s degree or equivalent in a related field is required

Basic Requirements:

  • FINRA Series 7 required
  • Minimum of 3 years’ compliance analyst experience
  • Minimum of 5 years' industry related experience
  • Must possess sound decision making, analytical and problem solving skills
  • Proficiency with Microsoft Office applications including Outlook, Excel and Word.
  • Effective communication skills, both written and verbal required.
  • Must be detail-oriented, investigative and demonstrated ability in handling a high volume of work

Preferred Requirements:

  • FINRA 24 preferred, must be obtained within 180 days of hire
  • Industry experience with a broker/dealer or similar in the compliance or legal field