Homeoffice Compliance Consultant Wealth Management bei Sammons Financial Group

Overview:Responsible for the management and coordination of Wealth Management compliance activities, both internally and externally, in partnership with Wealth Management Legal and Compliance team. Draft, manage and execute on the compliance policies and procedures related to testing program.Responsibilities:

• Partner with Wealth Management Legal and Compliance team in the development and execution of the comprehensive risk-based monitoring and testing to determine the effectiveness of policies and procedures and compliance with regulatory requirements.
• Review, analyze and update current policies and procedures; identify, recommend and implement new and/or enhanced practices through collaboration with business units, ensuring adequate controls are in place to prevent, detect and resolve compliance violations.
• Ensure timely and accurate regulatory filings, including ADVs, Form 13 filings and U-4 amendments.
• Review electronic communications sent and received by supervised persons in various systems.
• Review advertising and marketing materials to ensure compliance with U.S. Securities and Exchange Commission (SEC) requirements.
• Make timely and logical decisions and recommendations in complex and unusual situations in the absence of specific direction.
• Lead ongoing business monitoring which includes, but is not limited to: identifying emerging risks and maintaining effective engagement with business partners.
• Review, investigate and respond to regulatory and client-initiated complaints as needed.
• Conduct internal and external compliance and business practice reviews and trainings to ensure compliance with SEC regulations.
• Interface and act as compliance contact with Sammons Financial Group Companies’ business partners to provide guidance on compliance requirements and best practices, including regulatory change.

Qualifications:

• Bachelor's Degree Preferred
• Minimum 5 years' experience in compliance, internal audit, risk, legal or securities Preferred
• SEC knowledge Preferred
• Previous report development experience, data analytics and policy/procedure development experience Preferred
• Strong customer relationship management and servicing skills
• Excellent and effective communication skills, both verbal and written, including one-on-one interactions with individuals at all levels; ability to handle difficult situations in a professional manner
• Proven ability to explain complex regulatory requirements to all audiences; ability to communicate risk scenarios and offer mitigation options
• Strong organization and project management skills with emphasis on prioritization; proven ability to handle numerous tasks at the same time and to reassess priorities as necessary
• Creative problem-solving skills
• Disciplined, organized and self-motivated; ability to be pro-active in identifying challenges and solutions
• Demonstrated professionalism and aptitude for critical thinking and problem resolution
• Excellent analytical skills, including the ability to accumulate, organize and assimilate large amounts of information
• Excellent attention to detail and accuracy
• Proven ability to apply securities industry knowledge, identify and direct the analysis of problems or questions and provide recommendations to appropriate audiences
• Ability to be a team player by demonstrating flexibility, understanding of other positions, providing constructive and relevant input to discussions
• Exhibit ability to build and maintain ongoing key relationships with industry contacts and business partners
• Strong work ethic
• Series License-65 Preferred
• Periodic/occasional travel required

Suitability Requirements:• Criminal background check required.
• If the position is in the SIG business unit, Annuity New Business Securities team, or if we are holding securities licenses, FINRA regulations require fingerprinting for this position; if we are holding securities licenses, a credit check will also be required. Management reserves the right to determine and approve incumbent suitability for this position.
• This role will be subject to a SEC compliance program, which can include monitoring personal securities transactions, restrictions on outside business activities, as well as other oversight and restrictions.
Company Information:•Sammons Financial Group offers a competitive benefit package that includes: Health, Dental, Vision, Company Paid Retirement, PTO and Holiday Pay.
•Our Employee Stock Ownership Plan (ESOP) is a 100% company-funded retirement plan, so you can save for retirement without contributing a penny of your own paycheck.
•Healthy balance between work and personal lives. Friday afternoons off all year long, competitive PTO, and generous number of paid holidays.
•Our incentive program for defined goals subject to eligibility and performance. Monetary rewards are based on individual and/or overall company performance.
•Colleagues who support one another, model our core values, and drive our healthy, high-performing culture.Pay Range:USD $48,418.00 - USD $100,870.00 /Yr.Pay Transparency Verbiage:Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience. For a narrower salary range specific to your labor market, please inquire.Work Authorization/Sponsorship:At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.) Jetzt bewerben