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Job Purpose
The Senior Compliance Analyst is responsible for the implementation and 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 Senior Compliance Analyst completes assigned tasks, participates in various projects and provides training and education for associates as requested by management. The Senior Compliance Analyst serves as a subject matter expert and mentor to Compliance Analysts.
Essential Responsibilities
Performs reviews to ensure compliance with relevant financial industry regulations.
Ensure adherence to FINRA rules by:
Performing electronic communications surveillance using Smarsh.
Conducting branch and non-branch exams.
Auditing non-cash compensation items using Oracle and other internal systems.
Processing updates to associate U4s and U5s as necessary, using RegEd and FINRA Gateway/CRD.
Reviewing and approving associate brokerage accounts, outside business activities, and social media activities.
Responds to inquiries from internal stakeholders about regulatory requirements.
Prepares and submits regulatory filings.
Remains current on relevant regulatory matters.
Participates in processes and projects as requested by management.
Demonstrates superior characteristics in terms of quality work product, dependability, attitude and overall willingness to contribute to team goals.
Conducts research on rules and regulations to determine impact on company procedures and makes recommendations.
Develops and/or modifies procedures and reference material.
Serves as subject matter expert and mentor to Compliance Analysts and may assist with training new associates.
Attends meetings with stakeholders as requested.
Other Duties
- Performs other duties and/or projects as assigned.
Knowledge, Skills and Abilities
Ability to read and interpret rules and regulations applicable to Jackson, including state and federal regulations.
Strong knowledge of insurance and/or financial industry regulations.
Strong knowledge of annuity and insurance products, including Jackson products.
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, colleagues, and internal and external contacts.
Ability to work independently and make decisions with limited supervision.
Ability to multi-task and be flexible.
Strong 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.
3+ years of relevant professional experience (insurance, financial services, compliance, legal, etc.) required.
FINRA Series 6 or 7 required, 24 or 26 preferred or obtained within 60 days.
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.
At Jackson, our employees are empowered to bring a fresh perspective, confront new challenges, and define their own career paths. We value the unique perspectives and innovative ideas that come from our employees' diverse backgrounds.
Jackson is the marketing name for Jackson National Life Insurance Company (Home Office: Lansing, Michigan) and Jackson National Life Insurance Company of New York (Home Office: Purchase, New York). Jackson National Asset Management, LLC (JNAM) located in Chicago, Illinois, is an SEC-registered investment adviser and Jackson subsidiary.
Annuities are distributed by Jackson National Life Distributors LLC, Member FINRA.
Jackson companies offer an outstanding benefits package including competitive pay, bonuses, comprehensive health insurance benefits, a matching 401(k) retirement plan, adoption assistance, education matching gift program and dependent tuition program. Online applications requested. Contact [email protected] for alternate formats for accommodation.
To learn more about Jackson's financial strength and results, visit jackson.com (https://www.jackson.com/our-company/financials/landing.xhtml) .
