- Implements policies and procedures meant to ensure compliance with applicable laws, basic knowledge of the Investment Advisers Act, SEC rules and regulations.
- Knowledge of, and ability to interpret and apply, insurance, broker/dealer and investment adviser regulatory requirements
- Possess a high level of professionalism, confidentiality, discretion and judgment
- Demonstrated solutions-oriented decision-making abilities, and successful experience applying reasonable judgement
- Conduct research on legal, regulatory and compliance issues as needed
- Providing meaningful recommendations on known gaps in compliance, with the aim of undertaking corrective actions with owners
- Reviewing compliance policies, procedures and related documentation as required.
- Reviewing sales materials with knowledge of the SEC marketing rules.
- Communicating compliance policies and guidelines to teams and employees.
- Assist with special project work and various legal & compliance initiatives
- Implements policies and procedures meant to ensure compliance with applicable laws, regulations, and standards
- Conducts initial reviews of alleged compliance violations and escalates to the Chief Compliance Officer
- Conducts periodic tests and audits of organizational operations.
- Tracks and interprets laws or regulations impacting the business, and provides guidance to ensure compliance.
- Identify gaps in documentation, or potential areas of non-compliance, and suggests resolutions.
- Enhances and maintains investment advisory policies and procedures and disclosure
- Research new rules and regulations and implement appropriate policies and procedures
- Maintain an ongoing compliance education program and provide training
- Maintain a repository of forms, handbooks, policies or other documents that are needed to comply with applicable regulations.
- BA/BS degree
- 1-3 years relevant compliance experience gained within financial services
- High attention to detail
- Self-starter and highly organized individual
- Strong communication and interpersonal skills
- Proficiency with windows-based software
- Ability to work independently and meet deadlines in a fast-paced, changing environment
- Series 7, 24 and 65 licenses preferred
- PTO (vacation, sick, personal time bank) - unlimited FTO after 2 years of service
- 12 Paid Holidays (10 stated and 2 floating holiday)
- 2 Community Volunteer Days
- 5 Summer Half Days
- Medical, Dental, Vision
- Life Insurance
- LTD & STD
- Retirement Plan with 3.75% Employer Match
- Parental Leave
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Compliance Analyst- Financial Services - Wakefield, United States - Sentinel Group
Description
Location Note: This a hybrid role for our Wakefield, MA office.
The Purpose of Your Role:
Do you want to work for a fun, growing organization where people truly make a difference?
We are seeking a knowledgeable and proactive Compliance Analyst, with a good base of industry, regulatory, and legal compliance knowledge. The successful candidate should have exceptional communication and interpersonal skill and a fundamental belief in the importance of using compliance to enable the business as well as protect it.
We are looking for an individual who strives toward excellence in compliance. The Compliance Analyst should be able to positively collaborate and build trust with internal stakeholders at various levels across the organization. They need to be organized, have the ability to critically think, and demonstrate a high attention to detail.
The Compliance Analyst will assist the Chief Compliance Officer in document management, compliance testing, internal controls, and risk management for the firm and its clients.
What you'll bring to Sentinel:
What you'll be responsible for:
About you:
We are looking for a detail-oriented individual who has the drive, determination, and skill-set to bring Sentinel's risk management program to the next level. The financial services industry is forever changing and we want someone who is flexible and willing to embrace that change.
What you need to have:
Preferred qualifications:
What you'll be part of:
Our people care about our organization. We are a company with a mission to be the best in our industry and best within our company. Being part of this company means that you are part of something special.
Sentinel was recently recognized by The Boston Globe as a Top Place to Work in 2020. In 2021, 2022, and 2023 Sentinel earned a Top Workplace USA Awards from Energage.
At Sentinel, we hire people with all kinds of awesome experiences, backgrounds, and perspectives. We like it that way. So even if you don't meet every single requirement, please consider applying if you like what you see. Our priority is to find the brightest talent that can add to our team culture, those who actively contribute and who are excited about what they do.
Sentinel is an equal opportunity employer and welcomes everyone to our team. If you need reasonable adjustments at any point in the application or interview process, please let us know.
Some of our Benefits:
See What We Stand For:
Who we are:
Sentinel Group proudly serves nearly 5,000 clients throughout the U.S. For 35+ years, we've remained devoted to making a difference in the lives of our people, our clients and our community. With a 9-year average associate tenure among our 265 professionals, our team's commitment to excellent service has positioned Sentinel as the only provider who makes benefits EASY: easy for your people; easy for your business; and easy for you.
Our ultimate goal is to help companies and their employees prepare for their future health, wealth and retirement needs. Whether it's through retirement plans, group health insurance, reimbursement accounts or financial planning, we engineer simple solutions and continuously strive to make them better. Our in-house experts—and their commitment to excellence—define who we are.
Sentinel is also one of the largest employee benefits firms in Massachusetts (Boston Business Journal) and was named a 2022 Retirement Plan Adviser of the Year in the Mentorship category (PLANADVISER Magazine).
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