Intermediate Compliance Analyst - Agent Oversight & Regulatory Compliance
About the position Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements. Possesses and applies broad knowledge of concepts and principles; works with some instruction or guidance with applicable latitude for un-reviewed action or decisions; performs more complex assignments with direction and guidance from management. Responsibilities • Review current policies and procedures; identify and help to implement new and/or enhanced practices. • Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives. • Research current, new, and proposed regulatory requirements (e.g., statutes, regulations, bulletins) to determine impact to organization. • Provide guidance and/or develop summaries related to regulatory requirements; identify possible courses of action for various departments. • Analyze processes, services and products and provide ongoing guidance to ensure compliance with regulatory and statutory requirements. • Compile information for completion of reporting, including reports for management and state/federal regulators. • Manage, oversee and analyze reports from third-parties (e.g., sub advisors, audit firms). • Provide guidance and support to business partners (e.g., Sales and Marketing) in creation of mandated product training. • Update and maintaining complete and accurate policies, procedures, compliance logs or files. • Assist team members with research and assigned tasks, and provide training to supported teams. Requirements • Bachelor's degree in business, marketing, pre-law or other relevant field, or equivalent education and experience. • Two years of regulatory, securities, or advertising compliance experience. • Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications. • Written and verbal communication skills. • Analytical and research skills. • Proficiency using MS Office tools. Benefits • Competitive Pay • Bonus for Eligible Employees • Pension Plan • 401k Match • Employee Stock Purchase Plan • Tuition Reimbursement • Disability Insurance • Medical Insurance • Dental Insurance • Vision Insurance • Employee Discounts • Career Training & Development Opportunities • Paid Time Off starting at 160 hours annually for employees in their first year of service. • Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays). • Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars. • Parental Leave - fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child. • Adoption Assistance • Employee Assistance Program • College Coach Program • Back-Up Care Program • PTO for Volunteer Hours • Employee Matching Gifts Program • Employee Resource Groups • Inclusion and Diversity Programs • Employee Recognition Program • Referral Bonus Programs Apply tot his job