Senior Marketing Compliance Analyst
PURPOSE OF JOB
Reviews, analyzes and approves communications to ensure compliance with regulatory requirements, internal guidelines, and other risk related issues. Guides and facilitates cross-functional teams in the strategy development and implementation of compliance solutions. Independently performs complex work assignments and problem resolution within a CoSA and enterprise-wide projects.
JOB DUTIES
· Applies Identifies compliance opportunities and potential solutions. Synthesizes analyses, identifies root cause(s), and provides recommendations that influence business solutions. Leads efforts to improve standardization and efficiency of communication reviews. Reviews complex communication material for compliance adherence. Fosters cooperation across team and organizational units. Builds consensus and morale through understanding of underlying team dynamics and by promoting development of team relationships.
· Collaborates with business partners and legal counsel regarding application of regulatory requirements in enterprise-wide communications. Provides insight and guides management on issues. Utilizes stong leadership and collaboration skills interacting with project teams, counsel, and team members. Responsible for project management by leading and influencing cross-functional enterprise or compliance teams.
· Participates in new or changed enterprise initiatives to determine impact on communications and provides guidance to ensure compliance. Identifies outstanding compliance issues and notifies authors of non-compliance and provides appropriate verbiage.
· Applies advanced knowledge of the business, its products and processes. Offers recommendations and makes project related decisions within scope of work assignment. Serves as the subject matter expert to ensure communications, projects, or product initiatives comply with regulatory and legal requirements and enterprise policy. Develops and delivers all types of messages effectively. Conveys information and position clearly, concisely, logically and in an organized manner.
· Serves as a mentor to peers and team members for assigned area of responsibility. Serves as a resource to team members on escalated issues of an unusual nature. Mentors and enhances compliance staff knowledge competencies. Demonstrates awareness of personal leadership style and works to achieve quality results by motivating and inspiring highly skilled team of compliance professionals.
MINIMUM REQUIREMENTS
- Bachelor's degree or equivalent work experience.
- 6+ years relevant work experience in compliance, audit, operations, marketing, corporate communications or legal.
- Advanced knowledge of regulatory compliance.
- Advanced knowledge of data analysis tools and techniques.
- Advanced knowledge of Microsoft Office tools including Word, Excel, and PowerPoint.
- FINRA Series 7, Series 24.
PREFERRED
- Experience working with affiliated broker-dealers.
- FINRA Series 4 and Series 65.
- Working knowledge of other related disciplines (Legal, FINRA, AML, RIA, etc.).
- Experience with regulatory or broker-dealer exams.
The above description reflects the details considered necessary to describe the principal functions of the job and should not be construed as a detailed description of all the work requirements that may be performed in the job.
At USAA our employees enjoy one of the best benefits packages in the business, including business casual dress environment, comprehensive medical, dental and vision plans, along with wellness and wealth building programs. Additionally, our career path planning and continuing education will assist you with your professional goals.
Relocation assistance is available for this position.
Qualified applicants must successfully complete a pre-employment background and drug screen. USAA is an Equal Opportunity/Affirmative Action Employer.
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