Sr Compliance Analyst

Section 1: Position Summary

Supports Ascensus regulated entities and enterprise-wide business lines and brands in providing its services as a retirement savings recordkeeper, third-party administrator, and government savings facilitator. The regulated entities may include a broker-dealer, registered investment advisory firms, and transfer agent securities activities that work in tandem to deliver comprehensive tax-advantaged savings solutions to institutional clients. 

Section 2: Job Functions, Essential Duties and Responsibilities

• Assists with the development, implementation, and supervision of an effective Regulated Entity compliance program designed to comply with the applicable SEC, FINRA, MSRB, and state laws, rules, and regulations.
• Prepares, implements, and monitors Compliance Department policies and procedures to ensure accuracy, relevance, and compliance; Maintains the Ascensus Anti-Money Laundering (AML) compliance program; Assists with various aspects of the due diligence process of third party investment managers as performed by the Compliance Department;
• Prepares and submits various regulatory filings, as assigned.
• Performs compliance principal functions as assigned.
• Leads efforts to assure compliance with the lost shareholder requirements of the Ascensus transfer agent pursuant to SEA Rule 17Ad-17 and the Ascensus escheatment function as directed.
• Assists in key Compliance Department initiatives and projects as assigned.
• Proactively identifies areas for process improvement and turns recommendations into action.
• Works in a fast-paced, dynamic environment with a high degree of urgency and accuracy
• Manages multiple tasks effectively and responds to unplanned issues while adhering to aggressive deadlines for multiple initiatives.
• Proactively and independently researches issues, gathers evidence, and successfully works with various departments.
• Communicates effectively across all functional areas, including all levels of associates institutional clients, and with regulators.
• Ascensus core values of People Matter, Quality First and Integrity Always® are visible in your actions on a day-to-day basis showing support of our organizational culture.

Section 3:  Experience, Skills, Knowledge Requirements

• Bachelor’s degree in related field, or proven experience in financial services (i.e., broker-dealer and/or investment adviser) compliance
• Minimum seven years of industry experience with at least five years in a compliance or regulatory role and demonstrates a significant working knowledge of the relevant rules and regulations associated with Compliance Department responsibilities (i.e., SEC, FINRA, Investment Advisors Act of 1940, MSRB, and State regulations as appropriate)
• FINRA Series 6 and 26 or equivalent licensing is required.
• Municipal securities registration (Series 50, 51/53) and Series 54 registration (Municipal Advisor Principal Qualification Examination) registrations are required within 6 months of hire.
• Self-motivated, proactive, and energetic team player
• Strong analytical, problem solving, and organizational skills.
• Detail-oriented, PC proficient, flexible, committed to quality.

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