Compliance Analyst

Mutual of America Financial Group

Job Title : Compliance Analyst

Location : Boca Raton, FL

Who We Are :

At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility.

We were founded in to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support.

Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals.

We work diligently to understand the needs of our customers so we can help them achieve their financial savings goals.

We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.

Role Summary :

This role will report to the Senior Manager of the Broker-Dealer Compliance team. As a Compliance Analyst on our team, you will assist with improving processes for insurance licensing, FINRA registration, and other regulatory compliance tasks This will include serving as a liaison with the firm’s regulators and the firm’s representatives.

The analyst will have a key role in the preparation and delivery of compliance training for a FINRA and SEC-registered broker-dealer.

Additionally, this individual will assist the Compliance team with the review of operating practices and administrative procedures to determine if they are within Company standards and meeting regulatory requirements.

The ideal candidate will possess a strong ethical standard and can help promote an effective compliance program for Mutual of America.

Responsibilities :

Assist with FINRA registration and state insurance licensing of firm representatives and identify opportunities to enhance workflows and processes.

• Administer and enhance the Firm’s Compliance Alpha platform used to assist with performing compliance tasks and oversee representative activity.
• Assist with drafting and distributing amendments to compliance manuals as requested by the Compliance Department leadership.
• Together with the CCO and Director of Compliance lead the annual Firm Element and prepare training materials for sales representatives of Mutual of America’s broker-dealer.
• Assist in maintaining and updating the firm’s electronic communications supervision rules and review flagged messages for compliance issues.
• Assist with Anti-Money Laundering compliance matters and shareholder transaction monitoring.
• Additional duties and ad-hoc compliance related projects, as needed.

Required Qualifications :

• BA / BS Degree
• At least years of financial services industry experience
• Basic knowledge of FINRA / SEC registration and operational procedures
• Hands on experience with FINRA Web- CRD / Firm Gateway
• Strong interpersonal and communication skills
• Comfortable interacting with all levels of management and regulatory personnel.
• Understanding of auditing processes, business ethics and regulatory requirements.
• Must be well-organized, detail oriented, and possess the ability to prioritize tasks.
• Ability to identify issues and trends and escalate to management, as necessary.
• Clear communicator, comfortable presenting in front of small groups.
• Working knowledge of Microsoft Office software (including Word, Excel and Access).

Preferred Qualifications :

• Adequate knowledge of variable annuities and mutual fund product sales
• Previous experience at a regulator, consulting firm or financial institution
• FINRA SIE, Series , and Series exam completion or willingness to obtain.

What we offer you :

• Competitive base salary
• Annual Bonus
• Comprehensive Benefits Package (medical, dental, and vision) that starts day one of employment.

k) Match : You will be eligible to receive up to % of your pay (salary and incentive compensation) in company contributions.

A non-elective employer contribution of %, plus a % employer match on employee contributions of up to % of pay.

• Parental Leave : weeks fully paid.
• Paid time off : days plus two floating personal holidays
• Matching Gift Program : Mutual of America matches donations of $ or more to your favorite organizations.
30+ days ago