- Born as a modest, door-to-door life insurance business and built to last forever
- Ranked 314 on Fortune 500
- Award winning Talent Development Team
- Top 10 for Top Spouse Employer and Military Friendly Employer in 2023
- We consider Cincinnati the best place to live, work and celebrate life – that is why we are committed to doing good for our community
- Tracks changes in SRO, federal and state rules and regulators; identifies related policies and procedures, and updates as needed.
- Provides review of retail communications for the Firm as well as email reviews, escalating to the Manager when issues are discovered.
- Conducts AML surveillance, review, and reporting.
- Works with the Compliance Manager to monitor branch supervisory turnover, assignments, and production of Form BR, assisting in the maintenance of all books and records related to this activity.
- Demonstrated strong quantitative and analytical skills, including experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions.
- Proven experience coordinating multiple complex projects/assignments simultaneously on a timely and accurate basis with a strong attention to detail.
- Bachelor's degree or commensurate experience within financial services.
- FINRA Series 7, 24, 52/53, 63 or 65/66 preferred
- FINRA Series 6 within three months of hire; FINRA Series 26 and any applicable other registration for the state of residence within six months of hire.
- Comprehensive benefits including medical, dental, vision, prescription, pet insurance, life insurance, disability, Fertility, maternity/caregiver & parental leave, and more
- Retirement solution with our 401(k) savings AND pension plan
- Paid time off that increases with tenure.
- Tuition Reimbursement
- Subsidized affordable parking
- On-site Cafeteria and fitness center (including sports leagues)
- On-site Registered Nurse
- Career Coaching/Mentoring
- Individualized development plans and career pathing
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Compliance Analyst
3 weeks ago
Western & Southern Life Cincinnati, United StatesOverview: · Summary of Responsibilities: · Under the direction of the Chief Compliance Officer (CCO) or delegate, manages, supports and provides oversight and monitoring of the Firms internal controls, compliance, and operational functions. May also assist senior staff in prepa ...
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Compliance Analyst
4 days ago
Western & Southern Life Cincinnati, United StatesOverviewSummary of Responsibilities:Under the direction of the Chief Compliance Officer (CCO) or delegate, manages, supports and provides oversight and monitoring of the Firm's internal controls, compliance, and operational functions. May also assist senior staff in preparing reg ...
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Compliance Analyst
1 week ago
Western & Southern Life Cincinnati, United StatesTHIS ROLE IS 100% ONSITE: · Hit Apply below to send your application for consideration Ensure that your CV is up to date, and that you have read the job specs first. · Welcome to Western & Southern Financial Group – Our focus on creating value for our customers through everythi ...
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Compliance Analyst
2 weeks ago
Western & Southern Financial Group Cincinnati, United StatesTHIS ROLE IS 100% ONSITE: · Welcome to Western & Southern Financial Group – Our focus on creating value for our customers through everything we do is foundational to who we are. We provide meaningful and challenging work for our associates, a key facet of our incredible culture t ...
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Compliance Analyst II
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Senior Compliance Analyst
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Compliance Analyst - Cincinnati, United States - Western & Southern Financial Group
Description
THIS ROLE IS 100% ONSITE:
Welcome to Western & Southern Financial Group – Our focus on creating value for our customers through everything we do is foundational to who we are. We provide meaningful and challenging work for our associates, a key facet of our incredible culture that helps make Western & Southern a career destination.
More than 135 years of operating history;
Our Culture
We are building our company to thrive and provide value to our customers, business partners and associates over the long term. To accomplish this, we look for professionals who embody our culture of integrity, top-notch performance, collaboration and teamwork. We are committed to hiring and developing associates who are driven to excel, have a strong work ethic and use astute, fact-based and ethical judgment in decision-making.
A Day in the Life
The Compliance Analyst is responsible for assisting senior staff in identifying key risk factors, including; researching and identifying regulatory requirements, documenting the control environment designed to comply with stated requirements, assessing nature of risk factors, and identifying gaps in the control process. Skill sets served include but are not limited to someone with up to 2 years of experience in compliance with a proven ability to receive, organize, and manage large amounts of diverse information and documentation.
Duties and Responsibilities
Desired Competencies and Skills:
To view the full job description please visit – https://careers-
Premier Benefits to Support YOU
Learn more about who we are visit;
Western & Southern Financial Group is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment because of race (including but not limited to traits historically associated with race such as hair texture and hair style), color, sex (includes pregnancy or related conditions), religion or creed, national origin, citizenship, age, disability, status as a veteran, union membership, ethnicity, gender, gender identity, gender expression, sexual orientation, marital status, political affiliation, or any other protected characteristics as required by federal, state or local law.
