Compliance Analyst - OBA

The Risk Controls team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the firm, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner.

• Review and acknowledge Outside Business Activities (OBAs) submitted by registered field and home office personnel.
• Partner with the broker-dealer Compliance teams, as needed, to establish controls and/or conditions of an OBA
• Respond to and address inquiries from field and home office personnel to assist and educate regarding firm policies and procedures as it relates to OBAs.
• Track submissions and documentation into respective firm approved tools.
• Submit and update OBA information for registered persons.
• Primary contacts / internal partners for this position are:
  Broker-Dealer Compliance and Supervision Teams

• HS Degree at minimum
• 1-3 years of BD Compliance experience
• Series 7 and 24 required.
• Review and analyze OBAs from a practical, policy and regulatory framework.
• Provide accurate and thorough written documentation.
• Manage several tasks proactively.
• Work well independently as well as on a team.
• Manage workloads and help team as needed
• Regulations and interpretive guidance
• Industry Best Practices
• Problem resolution
• Thorough analysis
• MS office including Excel, Word, and Outlook
• Interpersonal relations

The base annual salary range for this role is $73,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan‑ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), Life