Touchstone Investments
Western & Southern is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career.
Headquartered in Cincinnati, W&S is a Fortune 500 company recognized as one of America’s Best Midsize Employers by Forbes. Our commitment to career growth and employee development earned us a top 100 ranking on the American Opportunity Index (AOI).
Our Culture: Excellence and Collaboration
Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. A Day in the Life of a Senior Compliance Analyst – Securities Entities
Assists in the management of the day-to-day compliance functions for the Securities Entities of Western & Southern Financial Group (W&SFG). Manages, supports and provides compliance oversight and monitoring of the Firm's internal control, compliance, risk management and operational functions. Duties & Responsibilities
Identifies key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes and advising and, as applicable, instituting solutions or controls to mitigate risk. Tracks changes in self-regulatory organization (SRO) (i.e. FINRA), federal and state rules and regulations, identifies related policies and procedures, and updates as needed. Works with Compliance leader to conduct annual broker-dealer / investment adviser / mutual fund audits to meet regulatory requirements. Conducts FinCEN/OFAC and other AML surveillance activities, to include by not limited to review, reporting, and filing of Suspicious Activity Reports. Conducts monthly surveillance of sales transactions, reviewing accounts for various transaction violations and commission manipulation. Qualification Criteria
Typically requires 4 years of relevant experience. Proven experience conducting compliance assessments and writing policies and procedures. Demonstrated knowledge of FINRA, SEC and MSRB rules and regulations. Demonstrated thorough knowledge of the insurance, securities and investment advisory industry. FINRA SIE and Series 6 (or willingness to obtain within 180 days) FINRA Series 26 and any applicable other registration for the state of residence (or willingness to obtain within 9 months) Premier Benefits to Support You
We offer a comprehensive benefits package, including: Medical, dental, vision, and life insurance. 401(k) savings plan with pension options. Paid time off increasing with tenure. Tuition reimbursement and individualized career development plans. Parental leave and maternity leave with a 4-week transition back to work. Access to on-site amenities like a fitness center, cafeteria and more. Extensive employee discount program. Western & Southern is an equal opportunity employer and is committed to diversity and inclusion in the workplace.
#J-18808-Ljbffr
Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. A Day in the Life of a Senior Compliance Analyst – Securities Entities
Assists in the management of the day-to-day compliance functions for the Securities Entities of Western & Southern Financial Group (W&SFG). Manages, supports and provides compliance oversight and monitoring of the Firm's internal control, compliance, risk management and operational functions. Duties & Responsibilities
Identifies key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes and advising and, as applicable, instituting solutions or controls to mitigate risk. Tracks changes in self-regulatory organization (SRO) (i.e. FINRA), federal and state rules and regulations, identifies related policies and procedures, and updates as needed. Works with Compliance leader to conduct annual broker-dealer / investment adviser / mutual fund audits to meet regulatory requirements. Conducts FinCEN/OFAC and other AML surveillance activities, to include by not limited to review, reporting, and filing of Suspicious Activity Reports. Conducts monthly surveillance of sales transactions, reviewing accounts for various transaction violations and commission manipulation. Qualification Criteria
Typically requires 4 years of relevant experience. Proven experience conducting compliance assessments and writing policies and procedures. Demonstrated knowledge of FINRA, SEC and MSRB rules and regulations. Demonstrated thorough knowledge of the insurance, securities and investment advisory industry. FINRA SIE and Series 6 (or willingness to obtain within 180 days) FINRA Series 26 and any applicable other registration for the state of residence (or willingness to obtain within 9 months) Premier Benefits to Support You
We offer a comprehensive benefits package, including: Medical, dental, vision, and life insurance. 401(k) savings plan with pension options. Paid time off increasing with tenure. Tuition reimbursement and individualized career development plans. Parental leave and maternity leave with a 4-week transition back to work. Access to on-site amenities like a fitness center, cafeteria and more. Extensive employee discount program. Western & Southern is an equal opportunity employer and is committed to diversity and inclusion in the workplace.
#J-18808-Ljbffr