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Posted: Wednesday, January 17, 2018 7:56 AM

Job Description:/h3:
Position: Compliance Analyst
Status: Exempt
Department: Compliance
Reports To: AVP, Compliance Officer

Headquartered in Carpinteria, California just south of Santa Barbara, PlanMember Financial Corporation is a leader in the retirement planning market with more than 500 representatives and 30 regionally:based Financial Centers located across the country.

PlanMember is looking for a motivated individual that will include, but not be limited to, the following responsibilities:

Major Duties and Responsibilities
* Communicate regulatory changes to the business and participate in reviewing and revising existing policies and procedures;
* Work with management and operations departments to formalize and maintain policies and procedures to ensure that the business is in Compliance with applicable federal securities laws and to ensure appropriate safeguards are in place to prevent, detect, and correct compliance failures;
* Provide guidance on a variety of sales and trading issues;
* Interface with management to develop new compliance policies and procedures as well as undertake and develop Compliance monitoring and surveillance;
* Conduct reviews of policies and procedure to determine effectiveness of compliance procedures;
* Provide education/training to business units regarding their responsibilities with respect to the compliance program;
* Review and approve advertising and marketing materials;
* Process registration and licensing documents;
* Assist with the identification of specific regulatory issues, the application of regulatory requirements, provision of advice on these rules and internal policies, etc.;
* Identify and report significant compliance exposures, while providing corrective actions for consideration and implementation;
* Conduct branch audits and resolve findings;
* Provide compliance reporting, monitoring and metrics;
* Participate in business level task forces/projects;
* Effectively coordinate the resolution of regulatory issues/questions;
* Review periodic compliance reports;

Qualifications
The ideal candidate will demonstrate the following:
* Series 6 and 26 required; Series 7 and 24 preferred; and the willingness to obtain additional licenses
* 3+ years prior b/d or investment adviser compliance or equivalent experience preferred
* Working knowledge of Federal and State securities laws and rules
* Process oriented analytical capabilities.
* Ability to understand and analyze a process, utilize creativity in problem solving and provide solution oriented recommendations.
* Exceptionally organized and strong attention to detail
* Ability to handle multiple tasks and deadlines efficiently
* Self:starter with the ability to work under limited supervision
* Strong interpersonal and communication skills
* Strong integrity and excellent work ethic
Compensation and Benefits: Compensation based on experience and knowledge. Benefits include medical, dental, vision, disability, life insurance, 401(k) as well as Paid Time Off PTO.
Company Description:/h3:
Headquartered in Carpinteria, California just south of Santa Barbara, PlanMember Financial Corporation is a leader in the retirement planning market with more than 500 representatives and 30 regionally:based Financial Centers located across the country.
Specializing in creating and servicing retirement plan solutions for nonprofit and for:profit employers and their employees, and for associations, unions, membership groups and their members, PlanMember offers a broad range of investment choices. We deliver unparalleled support and service in our commitment to help meet the retirement needs of individual investors and groups.
An innovator of asset allocation portfolios comprised of mutual funds, PlanMember developed the PlanMember Services Program, a fully integrated retirement planning, investment and annuity solution to help individuals plan, save for a

Source: https://www.tiptopjob.com/jobs/76732751_job.asp?source=backpage


• Location: San Diego

• Post ID: 35473022 sandiego
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