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Analyst III - Compliance Operations

Position Overview:


The position will identify, track, review, analyze, and assess new regulations and review changes in current regulations that will have potential impact to the firm.? As needed, this position will also collaborate with subject matter experts in the firm to identify and assess impacts across all business units. The position will require an ability to gain knowledge at an in-depth level of the business practices and compliance policies and procedures of Securities America and its affiliated entities.? As new rules are addressed, this position will participate in making necessary changes to the firm?s policies and procedures affected by the new rules.? This position serves as a subject matter expert in all aspects of applicable securities regulation.



Job Duties/Tasks:


This position is responsible for, but not limited to the following:


1. Identify, monitor and review regulatory changes.? Determine the specific implications of regulatory change for Securities America and its related entities within the Securities America and Ladenburg Thalmann family of companies. As implications from regulatory change are determined, communicate findings to key stakeholders throughout the firm.


2. To the extent that banking regulations are applicable to securities activity conducted on the premises of a financial institution (i.e., on the premises of a bank or credit union), monitor regulations applicable to financial institutions by reading and analyzing regulatory notices, industry publications, and other sources. Examples of financial institution regulators include the Office of the Comptroller of the Currency (OCC), the Board of Governors of the Federal Reserve System (FRB), the Federal Deposit Insurance Corporation (FDIC), the National Credit Union Administration (NCUA) and state banking regulatory agencies.


3. Conduct independent analysis of regulations and the available regulatory guidance to make recommendations regarding how regulations apply to Securities America.? Examples of sources of regulatory guidance to be consulted include FINRA Regulatory Notices, SEC No-Action Letters, SEC Rule Releases, and the regulatory notices and bulletins of other regulatory agencies and Self-Regulating Organizations.


4. On a monthly basis, produce reporting for Securities America?s executive leaders that summarizes the known pipeline of forthcoming regulatory changes, identifies the Securities America implications of these changes, and makes forward-looking statements about other potential future regulatory changes.


5. Develop, implement and maintain an Enforcement Action Review Program for the purpose of evaluating enforcement activity to ensure Securities America?s Compliance Policies and Procedures are fully compliant with regulatory expectations.? Communicate these cases to the key stakeholders for further review.? Provide business units across the firm with a regular sampling of enforcement action cases that illustrate regulatory expectations with regard to their specific business practices.??


6. Effectively document and track reviews and analysis of pending regulatory changes and regulatory notices (and other regulatory communications/news).??


7. Engage in reviewing regulatory notices and assessing any impacts for various business areas of the firm.? As necessary present regulatory notices to select business leaders, facilitate dialogue, and collect/track responses.? Work closely with the Director of Compliance Operations and Compliance Operations Senior Analyst to address Compliance Policies and Procedures implications.? Monitor the inventory of identified opportunities for enhancement to ensure that ownership for closure is assigned and completed.


8. Represent the Compliance Operations Team and/or Compliance Department as a cross functional team member on enterprise-wide projects.? As needed, participate in interdepartmental and enterprise wide initiatives designed to resolve or respond to the implications from regulatory change.??


9. Serve as the subject matter expert on securities laws, rules and regulations for the Compliance Operations Team, the Compliance Department and Securities America.


10. Serve as subject matter expert in regard to all aspects of Securities America compliance policies and procedures.


11. Monitor mass-media and industry news sources for indications of forthcoming regulatory changes.


12. Attend industry events related to industry regulations, compliance policies and procedures and/or regulatory change.? Document key insights obtained from these events and share with Compliance Department leaders.


13. Perform other duties as assigned.


Position Requirements


? Bachelor?s degree in a business-related field or equivalent work experience?


? Series 7, 24, and 66 licenses (or ability to successfully pass Series 24 or 66 within 6 months of hire)


? 5 -10 years previous financial services industry experience preferred


? 3-5 years of financial services industry Compliance experience preferred


? Knowledge of the regulations of Financial Industry Regulatory Authority (FINRA), U.S Securities and Exchange Commission (SEC), Municipal Securities Rulemaking Board (MSRB), and state securities regulators?


? Knowledge of Employee Retirement Income Security Act (ERISA) and Department of Labor (DOL) rules and regulations preferred


? Knowledge of the anti-money laundering regulations (e.g., Bank Secrecy Act (BSA), USA PATRIOT Act, Office of Foreign Asset Control (OFAC), and Financial Crimes Enforcement Network (FinCEN) regulations)?


? Ability to read and interpret securities laws and regulations


? Ability to organize, prioritize, and handle multiple tasks in pressure situations in order to meet deadlines


? Ability to plan and implement organizational and department goals.


? Knowledge of and belief in the quality improvement process.


? Skill in working with a diverse team.


? Proficient in the MS Office Suite of software


? Expert level Proficient in Microsoft Excel & Access.


? Excellent verbal and written communication skills


? Skill in operating various office equipment and using Adobe?s RoboHelp software and various other software packages, including database and project management applications



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