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Senior Compliance Analyst - Financial Services in Indianapolis at Vaco

Date Posted: 3/26/2018

Job Snapshot

Job Description

Vaco Indianapolis has partnered with a company located in Indianapolis to fill a Senior Compliance Analyst.

The Senior Compliance Analyst supervises activities of financial representatives and their employees with respect to laws and regulations of various agencies. The Senior Compliance Analyst monitors activities with respect to Company policies and procedures pertaining to insurance and securities sales practices.

Responsibilities

  • Oversees proper handling of investment product transactions while maintaining necessary records, following proper compliance rules, as well as providing expertise and training in these areas.
  • Supervision & monitoring of sales practices through supervisory systems, Financial Representative reviews, and client calls.
  • Books and Records Record keeping and Reporting.
  • Training and Communications to representatives within the Company.
  • Signs off as a registered principal on securities transactions.
Requirements
  • 1-5 years relevant work experience within the securities/financial services/insurance industry, preferably including experience in securities operations and compliance
  • Bachelor's Degree in finance or a related field preferred