Senior Analyst Communications Compliance

Job Description

What You Will Do

• Review and approve complex public, retail, institutional, and internal communications for compliance with applicable FINRA, SEC, state securities, and insurance regulations and company policies.
• Interpret FINRA and SEC regulations, regulatory guidance, comment letters, and related materials to determine whether communications meet applicable regulatory standards.
• File applicable communications materials with FINRA and maintain required advertising and communications records.
• Respond to inquiries from internal business partners regarding communications compliance requirements, regulatory standards, and the communications review process.
• Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations, requests, and inquiries.
• Develop and maintain subject matter expertise in communications regulations, securities and insurance products, and company compliance policies.
• Assist with maintaining and updating compliance policies based on regulatory changes and changes in business activities.
• Create, maintain, and test procedures and controls related to communications compliance reviews.
• Prepare quarterly and annual compliance reporting for management and senior leadership.
• Research and compile documentation required for regulatory examinations and inquiries.
• Conduct compliance surveillance reviews and investigations as required.
• Coordinate compliance programs and perform operational or surveillance activities required under SEC and FINRA regulations governing broker-dealer and investment adviser affiliates.
• Serve as a subject matter expert for assigned products, services, or regulatory requirements and provide training and guidance to other compliance specialists as needed.
• Educate internal and external business partners on communications review processes, procedures, product requirements, and relevant regulatory or industry changes.
• Independently manage higher-complexity communications reviews and escalate significant regulatory or compliance risks to appropriate decision makers.
• Provide guidance or coaching to less-experienced communications compliance team members.

What You Will Bring

• 8+ years of experience in financial services compliance.
• Knowledge of registered securities products and applicable communications compliance requirements.
• Comprehensive understanding of securities and insurance products sufficient to conduct compliance reviews of public communications.
• Strong knowledge of FINRA, SEC, federal, and state securities regulations and applicable insurance regulations.
• FINRA Series 6 and 26 registrations or Series 7 and 24 registrations
• FINRA Fingerprinting required.
• Strong analytical skills and attention to detail.
• Ability to interpret regulatory requirements and apply them to complex communications.
• Ability to complete communications reviews accurately and within established service or turnaround standards.
• Demonstrated ability to prioritize multiple assignments, manage projects, and meet strict deadlines in a fast-paced environment.
• Strong written and verbal communication skills.
• Ability to build effective working relationships with business partners, management, and staff across the organization.
• Ability to work independently with limited supervision.
• Bachelors degree or equivalent

What Will Set You Apart

• Prior experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization.
• Experience responding to FINRA Advertising Regulation inquiries or supporting SEC, FINRA, state, or other regulatory examinations.
• Experience developing, maintaining, or testing communications compliance policies and procedures.
• Experience serving as a communications compliance subject matter expert and training or mentoring other compliance professionals.
• Experience managing complex or escalated communications compliance matters.
• Working knowledge of Empower's business model, products, and services