Analyst II - Ally Invest Compliance

Ally and Your Career Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work‑life balance and diversity and inclusion.

From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?

Ally designates roles as (1) fully on‑site, (2) hybrid, or (3) fully remote. Hybrid roles are generally expected to be in the office a certain number of days per week as indicated by your manager. Your hiring manager will discuss this role’s specific work requirements with you during the hiring process. All work requirements are subject to change at any time based on leader discretion and/or business need.

Do you enjoy tackling new challenges every day? If you enjoy a fast‑paced environment and working in a close‑knit team, then this is the right opportunity for you! The Invest Compliance Analyst II is an integral part of the Ally Invest business line compliance team. As part of this team, the candidate will proactively identify pain points and gaps in existing policy and procedure frameworks and work with business teams to identify solutions.

The Invest Compliance Analyst II will also help develop compliance oversight metrics and guardrails to measure compliance program quality within the organization.

At this time, Ally will not sponsor a new applicant for employment authorization for this position.

• Prepares and completes forms for regulatory requirements as needed, including drafting accurate and sufficient narratives.
• Process inquiries received through FINRA, SEC, BBB, CFPB, and through the course of normally conducted business.
• Help administer and document Firm Continuing Education Plan including assisting with preparation for Annual Compliance Meetings.
• Conduct continuous monitoring reviews including but not limited to performing analyses and providing credible challenge on firm processes based on regulatory guidance. Assist with background review, onboarding and offboarding of associated persons, including the timely filing of regulatory forms.
• Perform important compliance tasks and deals with matters typically involving documentation, reporting, issue and incident management, etc.
• Ensure inventory of controls is maintained and any new controls are captured and documented.
• Assist in interpreting and administering operational policies and procedures.
• Coordinate the involvement of Ally stakeholders as necessary.
• Develop, validate and maintain step‑by‑step department instructions/training materials.
• Miscellaneous duties as assigned.

• Associates or Bachelor's degree strongly preferred.
• 1+ years in compliance or security industry related experience.
• FINRA Series 7 is required.
• FINRA Series 24 is preferred (must be willing to sit for license if not already acquired).
• Excellent oral and written communication skills.
• Capable of prioritizing tasks and meeting deadlines in a fast‑paced setting.
• Proactive attitude in problem identification and solution.
• Proficiency in Microsoft Word and Excel.
• Optimistic, embraces possibilities, encouraging and motivating, recognizes change as crafting opportunities.
• Exhibit a strong work ethic and high degree of self‑motivation.

Ally’s compensation program offers market‑competitive base pay and pay‑for‑performance incentives (bonuses) based on achieving personal and company goals. Our Total Rewards program includes industry‑leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and your life, including:

• Time Away:Program starts at 20 paid time off days in addition to 11 paid holidays and 8 hours of volunteer time off yearly (time off days are…