Full-Time

Compliance Analyst

Posted on 1/23/2025

Western & Southern Financial Group

Western & Southern Financial Group

1,001-5,000 employees

Provides personalized financial solutions and services

No salary listed

Junior, Mid

Cincinnati, OH, USA

10% travel required.

Category
Risk & Compliance
Legal & Compliance
Required Skills
Data Analysis
Requirements
  • Bachelor's Degree or commensurate experience within financial services is preferred.
  • Typically requires up to 2 years of relevant experience.
  • Demonstrated experience coordinating multiple, complex projects/assignments simultaneously and completing assigned tasks accurately and on a timely basis.
  • Must demonstrate strong attention to detail with excellent organization skills.
  • Expected to cite examples of organization and time management/methods used to manage or prioritize workload demands.
  • Must demonstrate project management experience in planning, executing, escalating issues and maintaining a project from start to finish.
  • Demonstrated experience working effectively within a team.
  • Demonstrated experience driving results through the exercise of influence on peers and/or more senior associates.
  • Demonstrated ability to receive, organize and manage large amounts of diverse information and documentation.
  • Proven ability maintaining a calm and professional demeanor when handling stressful situations, including pressure associated with volume workloads, and meeting deadlines and target dates.
  • Demonstrated excellent verbal and written communication and presentation skills, interpersonal and collaborative skills with experience conveying information to internal and external customers at all levels in a clear, accurate, focused and concise manner.
  • Proven strong quantitative and analytical skills, including demonstrated experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions to provide effective resolutions.
  • Proven experience with sound decision-making and critical thinking skills when dealing with multiple alternatives.
  • Must demonstrate the ability to conceptualize and apply new methodologies.
  • Advanced knowledge of word processing applications.
  • Working knowledge of web-based applications including the internet.
  • Proficient in Microsoft Office (Excel, Access, Word) applications, as well as intranet, email and mainframe applications.
  • Proficient in Legal and Regulatory research applications is preferred.
  • FINRA SIE and Series 6 within six months of the date of hire; FINRA Series 26 and any applicable other registration for the state of residence within nine months of the date of hire.
  • FINRA Series 7,24, 52/53, 63 and 65 or 66 Upon Hire (Preferred)
Responsibilities
  • Assists senior staff in identifying key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes.
  • Tracks changes in SRO, federal and state rules and regulators, identifies related policies and procedures, and updates as needed.
  • Provides reviews of retail communications for the firm, escalating to the manager when issues are discovered.
  • Conducts email reviews, escalating to the manager when issues are discovered.
  • Assists in the preparation of compliance training.
  • Assists in the preparation of exception reports on a regular basis.
  • Manages outside brokerage account statement review/maintenance, escalating issues to compliance manager when discovered.
  • Conducts AML surveillance, review and reporting.
  • Works with the compliance manager to monitor branch supervisory turnover, assignments and production of Form BR, assisting in the maintenance of all books and records related to this activity.
  • Coordinates activities and communicates with other W&SFG Compliance groups as appropriate.
  • Performs other duties as assigned.
  • Complies with all policies and standards.
Desired Qualifications
  • Proficient in Legal and Regulatory research applications is preferred.
  • FINRA Series 7,24, 52/53, 63 and 65 or 66 Upon Hire (Preferred)
Western & Southern Financial Group

Western & Southern Financial Group

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Western & Southern Financial Group offers financial products and services aimed at simplifying complex financial concepts for its clients. The company focuses on middle-market clients, providing personalized, face-to-face consultations to understand their financial needs and goals. This approach allows them to create tailored financial solutions that stand out from competitors. With a long history of financial stability since 1888, Western & Southern Life emphasizes strong relationships built on integrity and loyalty. Their dedicated sales force, supported by experienced managers, ensures a high level of service and professionalism, fostering a culture of excellence for both customers and employees.

Company Size

1,001-5,000

Company Stage

N/A

Total Funding

N/A

Headquarters

Cincinnati, Ohio

Founded

1888

Simplify Jobs

Simplify's Take

What believers are saying

  • Growing demand for personalized financial advice aligns with Western & Southern's service model.
  • Partnership with Fidelity enhances product offerings in the retirement income market.
  • Expansion of financial literacy programs supports Western & Southern's mission to simplify finance.

What critics are saying

  • Increased competition from Fidelity's Guaranteed Income Direct solution in the retirement market.
  • Exclusion from licensing in key states like New York limits market reach.
  • Reliance on face-to-face interactions may be challenged by digital financial service growth.

What makes Western & Southern Financial Group unique

  • Western & Southern offers personalized financial solutions through face-to-face client interactions.
  • The company has a long-standing reputation for financial stability since 1888.
  • Western & Southern collaborates with Fidelity Investments to offer innovative retirement income solutions.

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Benefits

Flexible Work Hours

Performance Bonus

Company News

Cincinnati Enquirer
Aug 9th, 2024
Cincinnati-based company listed among the best for high school grads to start careers

Cincinnati-based Western & Southern was No. 48 of the top 50 companies listed on the report.

U.S. Securities and Exchange Commission
Feb 1st, 2024
SEC FORM D/A

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.The reader should not assume that the information is accurate and complete.

Western & Southern Financial Group
Jan 31st, 2024
Western & Southern, Fidelity Investments Offer New Approach To Protected Retirement Income

Western & Southern recently introduced IncomePoint - a new single-premium immediate annuity (SPIA) - within employer-based retirement plans administered by Fidelity Investments.

Business Wire
Jan 25th, 2024
Fidelity’S® Guaranteed Income Direct Solution Available Nationally, Enabling Employees To Convert Retirement Savings Into Lifetime Income

BOSTON--(BUSINESS WIRE)--Fidelity Investments®, the nation’s retirement leader1, announces the broad availability of Guaranteed Income Direct, a new solution allowing employees to convert all or a portion of their retirement savings – from a 401(k), 403(b) or 457(b) – into an immediate income annuity to provide consistent, pension-like payments2 throughout retirement. Retirement preparedness is a source of financial stress for employees: 79% are worried they won’t have enough money to last their lifetime3, and 85% feel employers should take more responsibility in helping them prepare for retirement4. As such, guaranteed income solutions within workplace retirement plans have become increasingly popular. Fidelity research shows the number of retirees and pre-retirees deciding to stay in plan past their retirement date has continually increased over the past 10 years5, with 65% of participants expressing interest in having guaranteed income options in their workplace plans.6 For employers, the feelings are mutual: 81% of plan sponsors7 would prefer to give retirees the flexibility to stay in plan and withdraw assets throughout their retirement years. “A key challenge for employees as they transition from saving for retirement to living in retirement is ensuring there’s enough predictable income to cover essential expenses,” says Keri Dogan, senior vice president, Financial Wellness and Retirement Income Solutions at Fidelity. “Many people feel anxious about how to generate income in retirement and want to reduce the risk of outliving their assets

PR Newswire
Dec 12th, 2023
Touchstone Investments Launches Dynamic International Etf To Expand Global Exposure

The Touchstone Dynamic International ETF is Sub-advised by Los Angeles Capital ManagementCINCINNATI, Dec. 12, 2023 /PRNewswire/ -- Touchstone Investments, known for its Distinctively Active® mutual funds and exchange traded funds (ETFs), today announced the launch of the Touchstone Dynamic International ETF (TDI: NASDAQ), an actively-managed, fully-transparent ETF that seeks to invest in equity securities of non-U.S. companies domiciled in both developed and emerging markets, which began trading on December 11, 2023.In seeking to achieve its investment objective of capital appreciation, The Touchstone Dynamic International ETF is designed to offer investors a comprehensive framework of investments with broad international exposure. The strategy follows Los Angeles Capital Management's Dynamic Alpha Stock Selection Model®, an adaptive quantitative investment process that considers evolving market conditions and manages investment risk and alpha uncertainty, and weighs factors based on forward-looking expectations.Touchstone Investments launches dynamic international ETF to expand global exposure. Post thisTouchstone Investments' commitment to being Distinctively Active means executing a fully integrated and rigorous process for identifying and collaborating with best-in-class asset managers to sub-advise its funds. Like Touchstone's existing suite of ETF offerings, the Touchstone Dynamic International ETF offers potential for a more tax-efficient, cost competitive and transparent way to access Touchstone's investment strategies with no investment minimum."We are pleased to launch the Touchstone Dynamic International ETF in partnership with Los Angeles Capital Management given the team's unique investment process, designed to build equity portfolios that adapt to dynamic market conditions," said Blake Moore, president and chief executive officer of Touchstone Investments

INACTIVE