Sentinel Benefits & Financial Wakefield, MA
- Expired: over a month ago. Applications are no longer accepted.
The Purpose of Your Role:
We are seeking a knowledgeable and proactive Compliance Analyst, with a good base of industry, regulatory, and legal compliance knowledge. The successful candidate should have exceptional communication and interpersonal skills and a fundamental belief in the importance of using compliance to enable the business as well as protect it.
We are looking for an individual who strives toward excellence in compliance. The Compliance Analyst should be able to positively collaborate and build trust with internal stakeholders at various levels across the organization. They need to be organized, have the ability to think critically, and demonstrate a high attention to detail.
The Compliance Analyst will assist the Chief Compliance Officer in document management, compliance testing, internal controls, and risk management for the firm and its clients.
The Expertise we’re looking for:
- Implements policies and procedures meant to ensure compliance with applicable laws, regulations, and standards
- Conducts initial reviews of alleged compliance violations and escalates to the Chief Compliance Officer
- Conducts periodic tests and audits of organizational operations
- Tracks and interprets laws or regulations impacting the business, and provides guidance to ensure compliance
- Identify gaps in documentation, or potential areas of non-compliance, and suggests resolutions
- Enhances and maintains investment advisory policies and procedures and disclosures
- Research new rules and regulations and implement appropriate policies and procedures
- Maintain an ongoing compliance education program and provide training
- Maintain a repository of forms, handbooks, policies or other documents that are needed to comply with application regulations are standards
The Behaviors that you bring:
- Integrity – Customer-centric attitude and commitment to risk mitigation for the firm
- Expertise – Team player and continuous learner. Share your knowledge with the firm, embrace new learning opportunities, and search for ways to improve our operations
- Empowerment – Demonstrate organizational skills, the ability to manage priorities, deadlines, and troubleshoot issues independently
- Excellence – Detail-oriented approach leads to quality results. Communication skills allow you to communicate effectively with Sentinel personnel
- Innovation – Quick learner, ability to collaborate with others, and share your ideas for improving our risk management program
The Excellence you deliver:
- Basic knowledge of the Investment Advisers Act, SEC rules and regulations
- Knowledge of, and ability to interpret and apply, insurance, broker/dealer and investment adviser regulatory requirements
- Possess a high level of professionalism, confidentiality, discretion and judgment
- Demonstrated solutions-oriented decision-making abilities, and successful experience
- applying reasonable judgement
- Conduct research on legal, regulatory and compliance issues as needed
- providing meaningful recommendations on known gaps in compliance, with the aim of agreeing corrective actions with owners
- Reviewing compliance policies, procedures and related documentation as required
- Communicating compliance policies and guidelines to teams and employees
- Assist with special project work and various legal & compliance initiatives
We are looking for someone with customer centric attitude, drive, determination, and analytical skills. The financial services industry is forever changing and we are looking for someone who is flexible and willing to embrace change.
Education, Skills and Experience:
- BA/BS degree or related field or equivalent experience
- 3-4 years relevant compliance experience gained within financial services
- High attention to detail
- Self-starter and highly organized individual
- Strong communication and interpersonal skills
- Proficiency with windows-based software
- Ability to work independently and meet deadlines in a fast-paced, changing environment
- Series 7 and 65 licenses preferred
Sentinel Benefits & Financial Group proudly serves more than 3,500 clients throughout the U.S., and for 30 years, we’ve remained devoted to making a difference in the lives of our people, our clients and our community. With nearly 220 professionals tied to our mission to deliver great service—and a 9-year average associate tenure—we have become the thought leader we are today.
Sentinel was recently recognized by The Boston Globe as a Top Place to Work in 2020. In 2021, Sentinel earned a Top Workplace USA Award from Energage. Sentinel is also recognized as one of the largest employee benefits firms in Massachusetts (Boston Business Journal), a top 100 retirement plan adviser (PLANADVISER Magazine), and the 2016 recipient of the Best-in-Retirement Business IMPACT Award™ by Charles Schwab, our in-house experts—and their commitment to excellence—define who we are.
Our people care about our organization. We are a company with a mission to be the best in our industry and best within our company. Being part of this company means that you are part of something special. Sentinel Benefits & Financial Group offers paid vacation, 10 Holidays and 2 floating holiday, company sponsored medical and dental insurance, life insurance, AD&D, short and long‐term disability, 401(k) Plan and free parking. Sentinel Benefits & Financial Group is an Equal Opportunity Employer
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