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.


See if you are a match!

See how well your resume matches up to this job - upload your resume now.

Find your dream job anywhere
with the LiveCareer app.
Download the
LiveCareer app and find
your dream job anywhere
lc_ad

Boost your job search productivity with our
free Chrome Extension!

lc_apply_tool GET EXTENSION

Similar Jobs

Want to see jobs matched to your resume? Upload One Now! Remove
Nerc Compliance Analyst

AES Corporation

Posted 1 week ago

VIEW JOBS 11/9/2018 12:00:00 AM 2019-02-07T00:00 At AES, we raise the quality of life around the world by changing the way energy works. Everyone makes an impact every day in our small, global teams. Apply here to start an extraordinary career today. Summary: Under limited supervision, this role is primarily responsible for carrying out individual work assignments concerning the development and implementation of the expectations, strategies, objectives, initiatives and measures pertaining to the IPL NERC Compliance Program (NERC 693) compliance. Applies fundamental concepts and procedures to solve complex problems in multiple areas of specialization. Responsibilities: * Serves as the functional Leader with subject matter experts to develop and maintain written documentation of plans, programs, procedures, and other evidence necessary to comply with the requirements and measures of the NERC Reliability Standards * Prepares and maintains self-certifications of assigned standards * Provides strategic support to groups regarding financial and operational impact of NERC reliability standards * Ensure that IPL Transmission Operations is compliant with all applicable mandatory standards and requirements regarding the Transmission Operator function * Ensure that IPL System Energy Coordination is compliant with all applicable mandatory standards and requirements regarding the Generator Operator and Balancing Authority functions * Identifies process improvement opportunities based on incident investigations, root cause analysis, and industry best practice * Prepares and performs training in support of the AES compliance program * Serves as the functional Leader for IPL mock audits conducted annually * Validates adherence to policy, process and procedure as part of AES' commitment to Compliance * Conduct Annual Spot Checks as part of the IPL Internal Compliance Program * Participates in industry affiliated trade associations, oversight organizations, and internal groups relevant to NERC standards development * Serves as the functional Leader for IPL regulatory audits conducted every 3 years * Advise the NERC Compliance Officer with regards to NERC audit findings, potential needs for self-reporting, penalty negotiations, development of mitigation plans, and tracking of mitigation plans to completion as needed * Provide guidance on interpreting the compliance regulations from a technical perspective at the AES businesses Requirements: * Four Year College degree or equivalent * Ability to see tasks through to completion without significant guidance * Strong interpersonal and organizational skills * Strong verbal and writing skills, technical and non-technical * Motivated by desire to foster and support the AES corporate culture of compliance * Knowledgeable of Generation and Transmission & Distribution circuitry and relaying * Experience with NERC Reliability Standards * Experience in implementing and/or maintaining a compliance program Indianapolis Power & Light Company (IPL), an AES Company, provides retail electric service to more than 480,000 residential, commercial and industrial customers in Indianapolis, as well as portions of other Central Indiana communities surrounding Marion County. During its long history, IPL has supplied its customers with some of the lowest-cost, most reliable power in the country. IPL is an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, national origin, genetic information, disability or protected veteran status. E-Verify Notice: IPL will provide the Social Security Administration (SSA) and, if necessary, the Department of Homeland Security (DHS), with information from each new employee's I-9 to confirm work authorization. AES Corporation Indianapolis IN

Securities Compliance Analyst

Oneamerica