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Sr. Compliance Analyst, Compliance Operations

Advisor Group locationPhoenix, AZ
32 positions

Web Mktg Technology Specialist

Advisor Group locationPhoenix, AZ
32 positions
info linkReport a probelm Originally Posted : February 12, 2021 | Expires : March 14, 2021


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Job Location
Phoenix, AZ, United States


Regulatory Compliance Opportunity in Financial Services

Senior Compliance Analyst - Compliance Operations

Location:          ALL LOCATIONS & REMOTE

Role Type:        Full-time


Advisor Group is seeking an organized, detailed and energetic Senior Compliance Analyst to assist/support the Compliance Operations team by manage the Advisor Group enterprise policies and procedure manuals and coordinate compliance related communications to the associated Financial Professionals of the Advisor Group firms.  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.


  • The analyst will be responsible for coordinating compliance related communications on behalf of Advisor Group firms
  • Maintain and coordinate updates to policies and procedures with Compliance leadership and other stakeholders throughout the firm
  • Analyze existing policies and procedures to identify gaps, inconsistencies or conflicts and work with all areas of the firm to take appropriate action to resolve
  • Develop and manage action plans developed to remediate regulatory issues and concerns
  • Maintain an ongoing relationship with BD and Network Compliance, Supervision, and other internal departments to stay informed of changes to the firm policies and supervisory procedures being conducted
  • Analyze new rule filings or regulatory updates and guidance to determine relevance and needed communications and policy updates
  • 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, H.S. Diploma or GED certificate + Significant Practical Experience will be considered
  • FINRA Series 7 is required

Basic Requirements:

  • Minimum of 5 years of Industry experience with a broker/dealer or similar, in the compliance or legal field in addition to project management experience
  • 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
  • Must have excellent written and verbal communication skills and be able to perform multiple tasks while working within demanding time frames
  • Proficient with Windows and MS applications such as Word, Excel, PowerPoint and Outlook
  • Ability to operate effectively as part of a project team or individually

Preferred Requirements:

  • FINRA Series 24 and 66/65 licenses are desired

The above declarations are not intended to be an "all-inclusive" list of duties and responsibilities of the job described, nor are they intended to be such a listing of the skills and abilities required to do the job. Rather, they are intended only to describe the general nature of the job.

Why Advisor Group  

  • Competitive salary and annual bonus paid based on performance
  • Generous time off package, including paid time off, paid holidays, and paid time to volunteer in the community
  • Immediate access to extensive benefits package that includes medical, dental and vision coverage, basic life insurance, long and short-term disability coverage and much more
  • 401(k) match from day one of employment
  • Referral bonuses if we hire your referred applicants to our open positions
  • An enriching and engaging career in financial services - our employees overwhelmingly report that they find meaning and purpose in their day to day work
  • Executive leader access and interaction in all our locations due to flat structure, open office environments, town halls and speed mentoring events
  • New, professional, and collaborative working environment where covered parking is provided
  • Headquarters location provides access and interaction with every function within the organization

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