Senior Communications Compliance Analyst

This is a fully remote position, open to applicants in India.

📋 Description

• Evaluate and authorize intricate public, retail, institutional, and internal communications to ensure alignment with relevant FINRA, SEC, state securities, and insurance regulations, as well as company policies.

• Analyze FINRA and SEC regulations, along with regulatory guidance, comment letters, and related documentation.

• Submit relevant communication materials to FINRA and maintain necessary advertising and communication records.

• Address inquiries from internal business partners regarding communications compliance mandates and review procedures.

• Respond to inquiries from FINRA Advertising Regulation and assist with regulatory examinations and requests.

• Develop and uphold subject matter expertise in communications regulations, securities and insurance products, and company compliance policies.

• Aid in the maintenance and updating of compliance policies in light of regulatory and business shifts.

• Establish, uphold, and evaluate communications compliance procedures and controls.

• Prepare quarterly and annual compliance reports for management and senior leadership.

• Conduct research and compile documentation for regulatory examinations and inquiries.

• Perform compliance surveillance reviews and investigations as necessary.

• Coordinate compliance initiatives and execute operational or surveillance activities under SEC and FINRA regulations.

• Act as a subject matter expert, offering training and guidance to compliance specialists.

• Inform internal and external business partners about communications review processes, procedures, product requirements, and regulatory or industry updates.

• Independently manage higher-complexity communications reviews and escalate significant risks.

• Provide guidance or mentorship to less-experienced members of the communications compliance team.

⛳️ Requirements

• Over 8 years of experience in financial services compliance.

• Understanding of registered securities products and relevant communications compliance requirements.

• In-depth knowledge of securities and insurance products sufficient to carry out compliance reviews of public communications.

• Solid understanding of FINRA, SEC, federal, and state securities regulations as well as applicable insurance regulations.

• FINRA Series 6 and 26 registrations or Series 7 and 24 registrations required.

• FINRA Fingerprinting is mandatory.

• Strong analytical abilities and meticulous attention to detail.

• Capability to interpret regulatory requirements and apply them to complex communications.

• Proficient in completing communications reviews accurately and within established service or turnaround timelines.

• Ability to manage multiple assignments, oversee projects, and adhere to strict deadlines in a dynamic environment.

• Exceptional written and verbal communication skills.

• Skill in fostering effective working relationships with business partners, management, and staff throughout the organization.

• Ability to work independently with minimal supervision.

• Bachelor's degree or equivalent experience is required.

• Previous experience reviewing retail and/or institutional communications for a broker-dealer, investment adviser, or financial services organization.

• Familiarity with responding to FINRA Advertising Regulation inquiries or assisting in SEC, FINRA, state, or other regulatory examinations.

• Experience in developing, maintaining, or testing communications compliance policies and procedures.

• Background in serving as a communications compliance subject matter expert and training or mentoring other compliance professionals.

• Experience managing intricate or escalated communications compliance issues.

• Working knowledge of Empower's business model, products, and services.

🏝️ Benefits

• Flexible work environment.

• Fluid career paths.

• Internal mobility opportunities.

• Support for purpose, well-being, and work-life balance.

• A welcoming and inclusive workplace.

• Opportunities for employee volunteering.