Job Description: The Compliance Analyst reviews, interprets, and analyzes registered representative requests to participate in outside business activities. This position considers whether the outside activity will interfere with or otherwise compromise the representative’s responsibilities to the company or our customers. Also if the activity will be viewed by customers or the public as part of our company’s business based upon, among other factors, the nature of the proposed activity and the manner in which it will be offered. The Compliance Analyst also evaluates if we should impose specific conditions or limitations on a representative’s outside business activity, and where circumstances warrant, prohibit the activity. Job Responsibilities: Conducts in-depth reviews of the outside activities and analyzes relevant information to ensure compliance with policies, guidelines and contracts Prepares and distributes written correspondence to appropriate parties during the review and resolution Reviews, interprets, and analyzes registered representatives’ requests to participate in outside business activities Communicates in writing and verbally with senior management and the field Handles telephone inquiries regarding questions on policies and guidelines Keeps current on changes in the regulatory and compliance industry Makes, implements and enforces decisions Job Requirements: Ability to recognize legal and regulatory issues that could pose risk to the Company Strong research, internet search, and analytical skills Strong verbal and written communication skills Strong organizational skills including the ability to manage multiple tasks and projects simultaneously and meet deadlines Strong report writing and presentation skills Strong decision-making skills SIE (if necessary), Series 6 (or 7) and 26 (or 24) licenses are required or obtained within 6 months of hire Qualification & Experience: Paralegal certification is a plus Bachelor’s Degree or equivalent work experience in a Financial Services or Compliance-related environment Job Details: Company: Primerica Vacancy Type: Full Time Job Functions: Analyst Job Location: Lodi, NJ, US Application Deadline: N/A Apply Here careersvite.com
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