Senior Compliance Analyst - Surveillance

Summary of Job Responsibilities:

The following duties cover what are generally believed to be the principal and essential functions of the job. Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties.

JOB RESPONSIBILITIES
Review outside trading account of assigned Registered Representatives to detect problematic trade activity.

Perform surveillance monitoring of different business units within the Home Office.

Review exception reports and inform management regarding observations noted.

Review Outside Business Activity forms submitted by Registered Representatives and approved by field supervision to ensure activity does not pose a conflict.

Perform Office of Supervisory Jurisdiction (OSJ), Registered Branch Office and Remote Office inspections and prepare summary of findings reports for senior management.

Monitors, interprets and communicates changes in securities regulations impacting the policies and procedures of the business units.

Develops and coordinates implementation of guidelines for regulatory compliance.

Advises support areas of compliance implications related to existing procedures, changes in policies and related forms. Responds to questions relating to regulatory requirements.

Assists in firm policy development resulting from regulation changes and/or decisions of business units, such as operations and sales.
Attends professional and/or industry association meetings, seminars and continuing education programs.

Maintains currency in compliance, regulatory requirements, and firm procedures.

Prepares monthly and special reports regarding operational status, and special project responsibilities.

Maintains the regulatory records for accurate information on firm procedures and approvals.

Lead Annual Compliance Meetings (ACM) for field and home office Registered Representatives.

Performs other duties as assigned.
REQUIREMENTS
JOB REQUIREMENTS:
Education: Undergraduate studies in business administration, insurance or pre- law. Participation in professional insurance designation programs preferred (FLMI, CLU, CPCU, IIA). NASD Series 7 & Principal Registration (Series 24) is required within 120 days of hire. Other licenses/registrations useful.

Experience: Three years of related work experience in securities or financial services compliance.

Knowledge:
* Securities, Insurance and/or financial services concepts, principles and practices.
* Prefer familiarity with securities & insurance laws and regulations.

Skills/Competencies:
* Oral and written communication skills to produce written analyses and advise support areas on regulatory requirements, changes, and procedures.

* Operate PC and related business and firm-specific software, applications and systems.

* Ability to analyze regulations, legislation and bulletins, and to evaluate and recommend solutions to compliance issues.

Values: Regularly and consistently demonstrates the Nationwide Values and Guiding Behaviors.