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The Investment Planning Services (IPS) Department has one Regulatory Analyst opening for the Regulatory Compliance Team. This team focuses on regulatory and sales compliance for IPS retail products. This role requires fingerprinting and maintenance of securities licensing and sponsorship (Securities Industry Essentials, Series 6, Series 26 and Series 51).

Note: Any current or past experience with Advisory Services, ChFC, or Series 65 would be beneficial to the team.

The analyst selected will support IPS regulatory and enterprise compliance through:

• Learning and applying regulations applicable to Broker-Dealer and Investment Advisor entities.
• Effectively managing risk and regulatory compliance by promoting commitment to compliant and ethical conduct, and assist with protecting IPS from legal, regulatory, financial, and reputational harm to support department and enterprise goals.
• Maintaining relationships with business partners across IPS, Agency, Agency Sales Administration, ECE, ERM, and Corporate Law to ensure timely and accurate reporting requirements are met.

Responsibilities include:

• Requires knowledge of registered securities products; develop comprehensive understanding of various registered securities to conduct compliance review of advertising and sales literature materials; knowledge of federal and state securities laws and regulations.
• Conducts complete timely compliance reviews of advertising and sales literature materials for field and home office
• Interprets FINRA and SEC regulations, comment letters and other materials to ensure all pieces comply with regulatory standards
• Responds to inquiries regarding advertising concerns
• Provides education and training regarding the advertising review process
• Researches, analyzes, interprets, and provides recommendations regarding state and federal compliance and securities regulations applicable to broker/dealer and investment advisor activities
• Develops, interprets, and provides recommendations for company policies and procedures with respect to securities regulations
• Identifies, develops, and maintains reports, presentations, communications, and other materials related to regulatory issues and activities
• Fosters and maintains relationships with internal/external business partners and customers
• Participates and coordinates projects representing compliance functions
• Establishes, documents, maintains, and communicates business procedures
• May work with FINRA, SEC, or other regulatory agencies and external audit firms on examinations, inquiries, and/or compliance issues.
• Assist field partners with questions regarding compliance with regulatory (internal and external) standards

Desired Skills and Experiences:

• Active and valid Series 6, Series 26, and Series 51 licenses
• Ability to quickly understand new concepts, interpret, and analyze rules and reporting requirements
• Strong attention to detail and commitment to high standards of work product, including completed staff work
• Ability to develop and deliver information to obtain buy-in, ownership, and drive action to achieve results
• Excellent relationship building and teamwork skills
• Comfort level in communicating with all levels of leadership
• Ability to multi-task and prioritize work based on need
• Working knowledge of enterprise risk and compliance processes, methodologies, and three lines of defense structure
• Understanding of mutual fund products and resources
• Understanding of agency field/market area/supervisory structure and securities oversight procedures