Compliance Associate – Equity Services, Inc.
The core purpose of our Compliance Department is to protect our stakeholders through a solutioner-driven mindset that prioritizes innovation as a competitive advantage. The nature of our business calls for every one of us to be adept multitaskers while paying close attention to detail. The ideal candidate is an innovative, motivated, self-starter with experience in the financial services industry.
Compliance generalist primarily responsible for surveillance of electronic communications, online presence of associated persons, and review and analysis of activities for a dually registered broker-dealer and registered investment advisor. Conduct compliance reporting, research, documentation and recordkeeping activities. The Associate follows established Firm guidelines and procedures and seeks guidance from experienced compliance staff for more complex and technical issues. The Associate works under direct supervision of the Vice President, Compliance.
- Conduct routine surveillance of electronic communications and online presence for adherence to FINRA, SEC, and written supervisory procedure compliance.
- Investigate potential issues discovered during electronic communications surveillance. Collaborate with field supervisors and members of compliance to resolve or escalate issues. Assist field supervisors with issuing disciplinary actions, if applicable.
- Assisting with the review and testing of potential collaboration tools and electronic communication tools.
- Coordinate and reconcile attributes related to the effective archival and supervision of electronic communications including the maintenance of robust lexicon.
- Conduct the review of required reporting including but not limited to political contributions, outside brokerage accounts, and cash/non-cash activities.
- Work independently, and/or with others, to complete a variety of compliance-related projects, reviews, and other tasks as assigned.
- 1-3 years of related experience in a securities firm, financial services company or similar industry.
- Excellent written and verbal communication skills.
- Bachelor’s Degree in business, finance, or relevant field.
- FINRA Series 7 and 24 is preferred or willingness to achieve within 6-12 months.
- Capable of working independently, however keenly aware of the need to effectively communicate and share information with colleagues.
- Ability to simultaneously manage multiple projects and meet deadlines in a fast-paced environment.
- Detail-oriented with strong analytical and organizational skills
- Skillful in Microsoft Word, Excel and other Microsoft Office tools a must. Knowledge in other technology or commonly used financial services industry platforms a plus.
- Must be able successfully pass a background check that may include fingerprinting
National Life Group ® is a trade name of National Life Insurance Company, Montpelier, VT, and its affiliates. Equity Services, Inc. (ESI) is a Broker-Dealer and Registered Investment Adviser affiliate of National Life Insurance Company. In CO, MO, NH and WI, ESI operates as Vermont Equity Service. Each company of the National Life Group is solely responsible for its own financial condition and contractual obligations.
This role is not open to applicants residing in Colorado effective 1/1/2021