Compliance Analyst
Company: Decoding HR LLC
Location: Urbandale
Posted on: June 25, 2022
Job Description:
Do you enjoy working on compliance items? - Modifying and
implementing compliance procedures? - Do you want to be involved
with Continuing Education and representative training? - - - In
this exciting opportunity you will -work closely with members of
the Compliance Department of the Firm in modifying, implementing,
and supervising the compliance procedures and the overall
supervisory structure of the broker-dealer and RIA. - The
Compliance Analyst will assist and assure representatives are
following the Firm's policies and procedures In this role you
will:
- Conduct ongoing supervision of RR's and IAR's. - Determine
necessary modifications to the supervisory structure and monitor
and oversee the structure for the Firm.
- Analyze monthly compliance reports to determine if regulations
and firm polices are met within set timing standards, including
oversight reports. -
- Conduct compliance audits of OSJ managers and direct reporting
representatives/advisors and determine any necessary action items.
Desired Qualifications:
- Work both independently and with a team.
- Ability to identify, weigh and convey potential risks
- Organized and detail-oriented
- Understand and exhibit the importance of maintaining
confidentiality
- Effective communication, including using positive language and
being attentive to customer needs.
- Client Series 7 and 24 required, Series 66/65 preferred or
required within 6 months; Series 53 and 4, Insurance and state
securities license(s) in state(s) of operation for life, health,
and variable annuity may be required. Must have a valid driver's
license.
- An ability to travel up to 15% Employee Benefits A
comprehensive benefits package including PTO, paid holidays,
medical, dental, retirement plan, Employee Ownership Program,
employer paid short term disability, and more. We believe in a
flexible work environment and have a hybrid work model for most
positions. We also reward our employees' hard work with
profitability bonuses, a casual dress code, adjustable sit / stand
desks, and free fruit. As an added bonus, we close every Friday at
3 p.m.Do you enjoy working on compliance items? - Modifying and
implementing compliance procedures? - Do you want to be involved
with Continuing Education and representative training? - - - In
this exciting opportunity you will -work closely with members of
the Compliance Department of the Firm in modifying, implementing,
and supervising the compliance procedures and the overall
supervisory structure of the broker-dealer and RIA. - The
Compliance Analyst will assist and assure representatives are
following the Firm's policies and procedures In this role you will:
- Conduct ongoing supervision of RR's and IAR's. - Determine
necessary modifications to the supervisory structure and monitor
and oversee the structure for the Firm.
- Analyze monthly compliance reports to determine if regulations
and firm polices are met within set timing standards, including
oversight reports. -
- Conduct compliance audits of OSJ managers and direct reporting
representatives/advisors and determine any necessary action items.
Desired Qualifications:
- Work both independently and with a team.
- Ability to identify, weigh and convey potential risks
- Organized and detail-oriented
- Understand and exhibit the importance of maintaining
confidentiality
- Effective communication, including using positive language and
being attentive to customer needs.
- Client Series 7 and 24 required, Series 66/65 preferred or
required within 6 months; Series 53 and 4, Insurance and state
securities license(s) in state(s) of operation for life, health,
and variable annuity may be required. Must have a valid driver's
license.
- An ability to travel up to 15% Employee Benefits A
comprehensive benefits package including PTO, paid holidays,
medical, dental, retirement plan, Employee Ownership Program,
employer paid short term disability, and more. We believe in a
flexible work environment and have a hybrid work model for most
positions. We also reward our employees' hard work with
profitability bonuses, a casual dress code, adjustable sit / stand
desks, and free fruit. As an added bonus, we close every Friday at
3 p.m. Please Apply Online at -https://decoding-hr.com/careers/
-
Keywords: Decoding HR LLC, Des Moines , Compliance Analyst, Professions , Urbandale, Iowa
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