Analyst II - Invest Compliance

General information

# 21519

Remote? No

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?

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.

• Time Away: competitive holiday and flexible paid‑time‑off, including time off for volunteering and voting.
• Planning for the Future: plan for the near and long term with an industry‑leading 401K retirement savings plan with matching and company contributions, student loan and 529 educational assistance programs, tuition reimbursement, and other financial well‑being programs.
• Supporting your Health & Well‑being: flexible health and insurance options including dental and vision, pre‑tax Health Savings Account with employer contributions and a total well‑being program that helps you and your family stay on track physically, socially, emotionally, and financially.
• Building a Family: adoption, surrogacy, and fertility support as well as parental and caregiver leave, back‑up child and adult/elder day care program and childcare discounts.
• Work‑Life Integration: other benefits including Life Matters® Employee…