Helps to mitigate legal exposure/risk to the organization by enforcing company policies, procedures and regulatory requirements.
Review and analyze current policies and procedures; identify, recommend and implement new and/or enhanced practices.
Contribute to the development of new and/or enhanced compliance programs and enterprise-wide initiatives.
Analyze processes, services and products, and provide ongoing guidance to ensure compliance with regulatory and statutory requirements.
Compile information for completion of reporting, including reports for management and state/federal regulators.
With minimal supervision perform analysis, identify trends and follow up on opportunities for enhancement.
Update and maintaining complete and accurate policies, procedures, compliance logs or files.
Assist team members with research and assigned tasks; provide training to supported teams.

Bachelor’s degree in business, marketing, pre-law or other relevant field, or equivalent education and experience.
Four years of regulatory, securities, or advertising compliance experience.
Areas of experience desired may vary based upon assigned compliance functions and may include contract development, claims, underwriting, legal research, fraud or anti-money laundering investigations and/or communications.
Securities and some advertising industry positions require comprehensive knowledge of the securities laws, regulations, rules, and applicable FINRA licensing (Series 7 & 24 or Series 6 & 26, as applicable).
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.

Competitive Pay
Bonus for Eligible Employees
Benefits Package
Pension Plan
401k Match
Employee Stock Purchase Plan
Tuition Reimbursement
Disability Insurance
Medical Insurance
Dental Insurance
Vision Insurance
Employee Discounts
Career Training & Development Opportunities
Health and Work/Life Balance Benefits
Paid Time Off starting at 160 hours annually for employees in their first year of service.
Ten (10) paid holidays per year (typically mirroring the New York Stock Exchange (NYSE) holidays).
Be Well Company holistic wellness program, which includes Wellness Coaching and Reward Dollars
Parental Leave – fifteen (15) days of paid parental leave per calendar year to eligible employees with at least one year of service at the time of birth, placement of an adopted child, or placement of a foster care child.
Adoption Assistance
Employee Assistance Program
Back-Up Care Program
PTO for Volunteer Hours
Employee Matching Gifts Program
Employee Resource Groups
Inclusion and Diversity Programs
Employee Recognition Program
Referral Bonus Programs

Senior Compliance Analyst, WFG – TFA

Key skills