Develop, update, and maintain current policies and procedures.
Review and approve ethics and conflict of interest disclosures
Provide guidance and support to employees, business partners and team members.
Participate in the development and delivery of training programs to educate employees on ethics standards and conflicts of interest protocols.
Identify process improvement opportunities and assist with implementing best practices within compliance and ethics functions .
Work with business partners to resolve compliance cases and contribute to solutions.
Monitor regulatory changes and help update internal processes to maintain ongoing compliance.
Compliance information for the preparation of responses to auditors and state/federal regulators.
Contribute to preparing reports for management on ethics and compliance activities.
Manage, oversee and analyze reports from third parties (e.g., software vendors )
Assist team members with research and assigned tasks; provide training to supported teams.
Ensure confidentiality and protect the integrity of sensitive information in all compliance activities.

Bachelor’s degree in business, marketing, pre-law or other field, or equivalent education and experience.
Four years of regulatory, securities, or ethics experience, preferably with FINRA or SEC-regulated companies
Series 7 & 24 licenses or the ability to obtain both within 6 months
Written and verbal communication skills.
Analytical and research skills.
Proficiency using MS Office tools.
Experience with data analytics software such as Power BI preferred

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 – Conflicts Review

Key skills