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Job Purpose
The Compliance Analyst is responsible for the monitoring of policies and procedures to ensure the Company's compliance with regulatory requirements and corporate compliance initiatives, and providing support for Jackson's Compliance Program. The Compliance Analyst will complete assigned tasks and participate in various projects as requested by management.
As part of the JNLD Compliance team, the Compliance Analyst, Distribution Surveillance assists in the administration of the firm's compliance programs with an emphasis on surveillance, non-cash compensation, and registrations. The Compliance Analyst, Distribution Surveillance assists in maintaining compliance with FINRA and SEC regulations, specifically developing and implementing compliance controls, monitoring registered rep activities, and creating and evaluating processes and procedures to improve efficiencies and compliance with applicable regulations.
Essential Responsibilities
- Performs reviews to ensure compliance with relevant financial industry regulations.
- Gathers information and research and prepares responses to inquiries from internal stakeholders about regulatory requirements.
- Prepares and submits regulatory filings, under the direction of superiors.
- Remains current on relevant regulatory matters.
- Participates in processes and projects as requested by management.
- Executes policies, procedures, and controls to assist in the oversight of the firm's product sales across all business channels.
- Reviews and processes documentation related to outside business activities, outside brokerage accounts, and non-brokerage transactions; filing with regulators as required.
- Executes registration and licensing related activities, including the completion of U4s and U5s, scheduling exams, and appropriately provisioning associated persons.
- Performs surveillance of electronic communications for registered associates and escalates concerns for resolution.
- Conducts ongoing reviews and risk assessments.
- Conducts periodic inspections of OSJ (Office of Supervisory Jurisdiction) branch and non-branch locations.
- Assists management in the drafting of Compliance Bulletins, procedures, and trainings.
- Travels up to 15 days per year.
Other Duties
- Performs ad-hoc compliance research and reporting as needed.
- Performs other duties and/or projects as assigned.
Knowledge, Skills and Abilities
- Ability to understand regulations applicable to Jackson, including state and federal regulations.
- Knowledge of insurance and/or financial industry regulations.
- Detail oriented, organized, thorough and persistent.
- Ability to prioritize and meet deadlines.
- Effective written and verbal communication skills.
- Ability to establish and maintain effective working relationships with superiors and colleagues.
- Ability to work independently and with limited supervision.
- Ability to multi-task and be flexible.
- Working knowledge of Microsoft Office tools (Word, Access, Outlook, Excel).
- Ability to work effectively in a team environment.
Qualifications
Bachelor's Degree or equivalent experience required.
2+ years of relevant professional experience (insurance, financial services, compliance, legal, etc.) required.
Securities Industry Essentials (SIE) required.
FINRA Series 6 or 7 and FINRA Series 24 or 26 required.
If required registration(s) is not held by the applicant, the individual will have 90 days to obtain the required registration(s), but will be limited in job function until complete registration(s) is obtained .
We don't just accept difference - we celebrate it, we support it, and we thrive on it for the benefit of our employees, our products and our community. Jackson is proud to be an equal opportunity workplace. The Company subscribes to and endorses federal and state laws and regulations relating to equal employment opportunity for all persons without regard to race, color, religion, gender, age, national origin, legally-recognized disability, marital status, legally-protected medical condition, citizenship, ancestry, height, weight, sexual orientation, veteran status, or any other factor not related to the needs of the job. The Company is committed to a policy of equal opportunity. Company facilities and campuses are tobacco-free environments.