National Financial Partners
The Compliance Analyst is responsible for assisting the Compliance Manager in ensuring the firm complies with applicable regulatory requirements. The Compliance Officer also plays a vital role in collaborating with the Compliance Manager on initiatives that drive new efficiencies to deliver top-notch client service and reduction of risk. This individual will serve as the primary day-to-day compliance partner to the firm's marketing team and management of the firm's code of ethics.
Responsibilities:
Interpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading along with all required employee reporting requirements Review the firm's marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant. Work with business teams on implementing regulatory changes that impact marketing Assist with electronic communication reviews Support Compliance Manager by conducting compliance testing on the firm's policies and procedures Assist with the preparation and submission of regulatory filings and disclosure documents Provide support for internal and external audits and examinations Conduct oversight and due diligence on critical vendors Assist with the revision of policies and procedures Assist with annual and ad hoc compliance training Performs other compliance duties as required by the Compliance Manager
Responsibilities:
Interpret, advise, administer, and monitor the Firm's Code of Ethics for personal trading along with all required employee reporting requirements Review the firm's marketing campaigns (presentations, market commentaries, RFP responses, marketing-related website content, and ad hoc marketing pieces) to ascertain compliance with all regulatory requirements. Provide a timely and accurate response including regulatory basis for requested changes and recommend alternatives to ensure content is compliant. Work with business teams on implementing regulatory changes that impact marketing Assist with electronic communication reviews Support Compliance Manager by conducting compliance testing on the firm's policies and procedures Assist with the preparation and submission of regulatory filings and disclosure documents Provide support for internal and external audits and examinations Conduct oversight and due diligence on critical vendors Assist with the revision of policies and procedures Assist with annual and ad hoc compliance training Performs other compliance duties as required by the Compliance Manager