Senior Compliance Analyst Job recruitment

Senior Compliance Analyst

Job ID #: 71533
Location: AZ-Phoenix
Functional Area: Compliance
Business Line: Advisor Group
Employment Type: Full Time
- Permanent
Education Required: Bachelors Degree (or equivalent)
Experience Required: 3-5 years
Relocation Provided: No
Travel Percentage: 0

Position Description:

SUMMARY: Our candidate will have the responsibilities of completing broker dealer investigations, surveillance follow-up, reviewing responses to various compliance requirements such as outside business activities, outside brokerage accounts, signature guarantee stamp assignment and writing reports after research on certain regulations is completed.
This position is also responsible for researching and analyzing regulatory inquiries and supporting examination requests.

Each Compliance Analyst is responsible for assisting the Compliance Manager and the
Chief Compliance Officer with investigation and analysis of representatives sales practice history
as reflected in external and internal records. The Compliance Analyst will also be responsible for creating and writing letters of understanding, letters of education and other disciplinary type letters to be sent to the field force. Leading, tracking and ensuring closure of sales practice issues while working with supervisors
throughout the firm is an important part of this position. The incumbent Compliance Analyst should have industry experience with a broker/dealer or similar, in the regulatory, compliance or legal field.

Knowledge of regulatory requirements from the FINRA and SEC as well as the ability to interpret
such regulations for a general sales force is expected.

SAFG:CB04/13/2012
SAFG:LI04/13/2012
SAFG:EFC04/13/2012

Position Requirements
- Must be an effective communicator verbally and in writing. In addition, must be an attentive listener.
- Decisive and action-oriented; commands respect through hard work, maturity and presence.
- Must be flexible in a growing, evolving environment
- Ability to manage large and shifting workloads and priorities.
- Ability to easily move between and among projects and to prioritize as necessary.
- Able to manage multiple tasks and set priorities to meet completion deadlines.

Candidate must have working knowledge of internal and external compliance related rules, regulations and policies, (FINRA, state and internal). The ideal candidate must be capable of self-management, multitasking with strong attention to detail. In addition, the candidate will have excellent analytical skills with a thorough knowledge of compliance polices involved with retail sales activity. The position entails access to sensitive, confidential information. The candidate must be capable of working independently as well as within a group.
Must be a strong team player, detail oriented with excellent verbal and written communication skills.

FINRA series 7, 24 and 63 licenses are required. FINRA series 7 is a prerequisite for this position.
FINRA series 24 must be obtained within 90 days of employment.

About Us:

SunAmerica Financial Group is one of the largest life insurance organizations in the United States based on over $236 billion of admitted assets as of June 30, 2011. Serving over 18 million customers, SunAmerica Financial Group is comprised of several leading life insurance and retirement services businesses, including American General Life Companies, AGLA, VALIC, Western National Life Insurance Company, SunAmerica Retirement Markets, SunAmerica Mutual Funds, SunAmerica Affordable Housing Partners, FSC Securities, Royal Alliance and SagePoint Financial. The unified businesses offer a comprehensive suite of life insurance, retirement savings products and guaranteed income solutions through an established multi-channel distribution network that includes banks, national, regional and independent broker-dealers, career
Financial Advisors, wholesale life brokers, insurance agents and a direct to consumer platform. Equal Opportunity Employer.