Compliance Analyst

TRC has partnered with a leading wealth management firm to hire a Compliance Analyst.Summary:The Compliance Analyst conducts suitability reviews of businesses requiring firm pre-approval, including, but not limited to, Variable Annuity (VA), Registered Index-Linked Annuity (RILA), and Fixed Indexed Annuity (FIA) initial purchases and replacements and non-traded alternative investment purchases. Under the guidance of the Department Manager, Team Lead, and/or Senior Trade Specialist, the Compliance Analyst researches and analyzes proposed transactions and documents findings, rationale, and provides approval/rejection decisions. Ensures business is processed in accordance with the firm’s policies and procedures and in compliance with regulatory requirements to protect the client, the First Line Supervisor (FLS), and the firm.Location(s):Atlanta: 2300 Windy Ridge Pkwy SE, Suite750, Atlanta, GA 30339La Vista:12325 Port Grace Blvd, La Vista, NE 68128Oakdale: 7755 3rd St. N, Oakdale, MN 55128Scottsdale: 18700 N Hayden Rd, Suite 255, Scottsdale, AZ 85255St. Petersburg: 877 Executive Center Dr. W, Suite 300, St. Petersburg, FL 33702Education Requirements:Bachelor’s degree preferred, high school diploma (or equivalent) in combination with significant experience will be considered in lieu of degree. Minimum of high school diploma or equivalent is required.Responsibilities:Ensures proper business and sales practices are followed by the daily review of all assigned transactions and works with the advisors to address deficiencies in submissionsCompletes data entry into the Sales Supervision pre-approval platform and documents analysis, advisor communications, resolution of deficiencies, and conclusionProvides a written recommendation of approval or rejection after a thorough suitability analysis is completedWorks with the Sr. Trade Specialist, Team Lead, and/or Trade Specialist Manager on escalated issues and rejectionsStays fully informed of firm rules, guidelines, and procedures, as well as regulatory changesMonitors, reports and enforces internal controls to ensure compliance with industry standards and the firm’s policies and proceduresKeeps timely workflow and ensures regulatory deadlines are metMaintains an ongoing positive relationship with Advisors and First-Line Supervisors in collaboration with the Supervision of Regional Vice Presidents (SRVPs) and Regional Sales Managers (RSMs)All other duties as assigned.Basic Requirements:Basic VA, RILA, FIA annuity & Alternative Investment knowledgeAt least 1 – 2 years related experienceFINRA Series 7, Series 63 (or Series 66), and Series 24 (or Series 8 or 9/10) are requiredExcellent written and verbal communication skillsAbility to effectively handle and prioritize multiple tasks in a fast-paced environment to meet defined deadlinesAnalytical and problem-solving skillsPreferred Requirements:FINRA Series 65 or Series 66 preferredLife & Variable Insurance licenses preferredCompany Description:TRC Talent Solutions is proud to be an Equal Opportunity Employer (EOE). All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, protected veteran status, disability status, sexual orientation, gender identity or expression, marital status, genetic information, or any other characteristic protected by law. At TRC, we take pride in fulfilling our opportunity to add value to our client's business as their staffing partner, while working tirelessly to connect thousands of individuals each year with work opportunities where they can meet the needs of their families and have the potential to build their careers