Sr. Compliance Analyst

We are offering a long term contract employment opportunity in the credit agencies industry at Fort Mill, South Carolina, for a Sr. Compliance Analyst. In this role, you will be a part of a team that oversees and supports registered representatives, ensuring compliance with industry standards and company policies.

Responsibilities:

• Review and approve account documentation to maintain compliance
• Interpret and incorporate firm policies and procedures into daily processes
• Identify potential sales practice concerns within team environments and initiate escalations
• Review securities transactions for suitability via the trade blotter
• Provide awareness across all departments of any investigations, escalations, or emerging risks involving advisors and OSJs
• Serve as a signing delegate for the Branch Manager
• Manage specific duties for the FRGIS Broker/Dealer
• Perform supervisory and compliance functions for SEC registered RIA
• Keep up to date with company and industry regulations
• Lead investigations of questionable sales activity and work with the team on resolution • Minimum of 3 years of experience in a similar role within the credit agencies industry.
• Proficiency in using compliance software tools.
• Experience with Concur software is a must.
• Knowledge of AML (Anti Money Laundering) policies and regulations.
• Strong auditing skills to ensure adherence to compliance standards and regulations.
• Exceptional communication skills to clearly convey compliance-related information and updates.
• In-depth understanding and experience of compliance procedures and best practices.
• Must possess Series 63 and Series 65 licenses.
• Experience with annuities is highly desirable.