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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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