Securities Compliance Analyst

Oneamerica Indianapolis , IN 46218

Posted 2 months ago

The OneAmerica Securities Compliance Analyst role will report directly to the Director of OAS Compliance Development, Oversight & Surveillance. The primary duty of the Compliance Analyst is to provide compliance support to the OAS Compliance Development, Oversight & Surveillance team and its mission of compliance oversight for OneAmerica Securities, Inc. ("OAS"), its parent insurance company, and any affiliate thereof. Responsibilities may include, but are not limited to:

  • Assist in monitoring all aspects of customer account activity to ensure that business is being conducted and supervised in compliance with applicable laws, regulations and firm policies;

  • Assist in various audits and examinations of the broker/dealer and registered investment advisers;

  • Assist in responding to inquiries and requests for information from securities and insurance regulators;

  • Assist in investigating and addressing customer complaints;

  • Assist the Director of OAS Compliance Development, Oversight & Surveillance and/or other leaders in the compliance department as directed.

This individual will be required to make decisions and judgment calls independent of direct supervision on a regular basis within an established time frame. This role will work closely with various compliance and business units in order to gain an excellent understanding of both the enterprise's businesses and the rules and regulations under which it operates.Requirements Bachelor's degree plus 2 years of financial industry experience. Experience or minimum education will be considered.

  • Preferred: Bachelor's degree and 2+ years of compliance/field supervision/back office experience in the financial services industry. Advanced degrees (i.e., JD or MBA) or FINRA licensing a plus.

  • FINRA Series 7 and 24 is a requirement of the role. If necessary, applicant will have 6 months to obtain the Series 7 and 24 licenses upon hire.

  • Strong communication (written and oral), critical thinking, analytical research and attention to detail skills required. Ability to manage and advance multiple projects simultaneously and meet deadlines. Ability to work with internal and external customers in a team environment.

  • Any travel requirement will be less than 10%Apply On-lineSend This Job to a Friend

OneAmerica Financial Partners, Inc. All rights reserved.

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Securities Compliance Analyst