COMPLIANCE ANALYST UBIS

Responsibilities Include: Review various compliance exception and monitoring reports to include suitability reviews, mutual fund breakpoint and share class review, trend analysis, mark-up/mark-down, annuity sales practice reviews to ensure adherence to company policy and securities regulation. Report findings and coordinate follow-up with appropriate compliance, supervisory and sales personnel. Review transaction activity for compliance with Bank Secrecy Act & Anti-Money Laundering regulatory requirements. Interface with sales management and registered representatives regarding sales practice reviews and supervisory issues. Update compliance & supervisory policy & procedures. Monitor electronic communications by registered representatives and associated persons. Reviews & principal approve advertising, marketing, sales literature and other written communications. Monitor associated persons outside brokerage account activity. Assist with other compliance related projects, including but not limited to branch office reviews, investigate sales practice customer complaints, conduct internal department reviews, etc.

 

Requirements include: Minimum 3+ years of broker-dealer regulatory and/or compliance experience; must maintain an NASD Series 7,24, 63/66 designations or ability to pass within 6 months.

 

Preferred Skills include: Must have knowledge of securities and insurance rules and regulations, including NASD, SEC, MSRB and DOI. Well developed analytical and project management skills, strong written and verbal communication skills, well organized with the ability to handle multiple tasks and multiple priorities simultaneously, ability to conduct presentations, proficiency in various PC applications or equivalent, preferably MS Office (Word, Excel, Access, PowerPoint, Lotus Notes, etc.)