We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other departments throughout the onboarding process: Recruiting, Branch Development, New Client Onboarding and Registration Services, as well as several departments for existing Advisors. Specific areas of responsibility include, but are not limited to:
Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors
First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join
First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews
Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations
Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives
Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision
Identifies suspicious risk profiles and ensures all appropriate information and details are gathered in order to make an appropriate decision
Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
Create and analyze departmental metrics to assist to boost overall efficiency and productivity
Qualifications:*
Licenses/Certifications Required: Series 7, Series 24
Undergraduate degree in Business, Accounting, Finance or related discipline
Minimum of 3-5 years industry experience
Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus