Senior Securities Compliance Specialist Job in Denver 80111, Colorado Us
Great-West is currently seeking a candidate with a financial services compliance background. Candidate to perform a variety of analytical and oversight functions related to the implementation and surveillance of compliance with SEC/FINRA requirements applicable to affiliate broker dealer and investment advisory firms. Preferred candidate should have SEC/FINRA broker dealer compliance experience with surveillance and supervisory control processes; back office compliance operations, branch office inspections; writing policies/procedures; and communicating with Firm Principals and Representatives. Institutional investment advisor compliance experience would also be beneficial. Experience with Macgregor XIP compliance systems a plus.
Responsibilities (Job duties may include any combination of the following):
- Analyze, interpret and apply regulatory agency requirements and internal Company policies to business applications
- Conduct surveillance of electronic communications and assist with surveillance program coordination
- Analyze and investigate potential non-compliance incidents
- Recommend course of action and compose internal sanction letters to the Firm's Registered Principals and Representatives where violations are confirmed
- Analyze supervisory control processes over customer transactions
- Conduct branch office books/records inspections, publishing detailed and well supported examination reports
- Assist with investment advisor Code of Ethics compliance and reporting activities
- Write or update internal policies and procedures, as needed
- Prepare and submit regulatory filings, as needed
- Prepare reporting statistical and/or narrative management reports
- Prepare and deliver educational communications and/or presentations to Field and Home Office employees
- Act as advisory contact for Field and Home Office personnel
- Coordinate special projects as assigned
- Complete administrative work as necessary to accomplish job responsibilities
Qualifications:
- College degree in business/legal related field, or equivalent work experience in directly related job position.
- 1-2 years of directly related experience i
- Series 6 required. Series 26 (Registered Principal) and Series 63 registrations within 90 days of assuming position. (Continued employment in position is contingent on attaining these registration requirements.)
- Working knowledge of SEC/FINRA limited broker dealer compliance
- Excellent written and oral communication skills are essential. (Writing samples may be required or a writing test administered.)
- Good working knowledge of Microsoft Office products.
- Ability to manage multiple tasks and adjust to changing priorities is a must, as well as a proven ability to work independently and in a team environment.
- Must be available for periodic travel.
Preferred Qualifications:
- Administration of compliance surveillance programs, policy/procedures writing, branch office audits experience and/or investment advisor compliance experience highly preferred.
- Experience with OSJ/branch audits
- Working knowledge of SEC registered investment company and/or investment advisor compliance.
- Working knowledge of Macgregor XIP or similar compliance systems.
Drawing on more than a century of experience, Great-West helps millions of Americans and their companies and employers build greater financial security. Great-West Retirement Services provides retirement savings programs to clients in the corporate, government, and healthcare/nonprofit markets. FASCore, LLC, a Great-West affiliate specializes in retirement plan recordkeeping and administration. Great-West's Individual Markets group provides life insurance and annuity products to a broad market, from middle-income Americans to businesses and corporate executives.
Headquartered in metro Denver, we serve customers nationwide through offices around the country. We market our solutions and services through our nationwide network of direct sales professionals, brokers, consultants, advisors, third-party administrators and financial institutions.
For more information, please visit www.greatwestcareers.com. We are an equal opportunity employer dedicated to workforce diversity. We are committed to providing a drug-free workplace.
You'll find good people at Great-West.
