Job Description

Join Western & Southern – Somewhere You Want to Be

At Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community.

Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer.

Our Culture: Excellence and Collaboration

Western & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We’re committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way.

A Day in the Life of a Compliance Analyst

The Compliance Analyst is responsible for assisting senior staff in identifying key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with stated requirements, assessing nature of risk factors, and identifying gaps in the control process. Skill sets served include but are not limited to someone with up to 2 years of experience in compliance with a proven ability to receive, organize, and manage large amounts of diverse information and documentation.

Duties and Responsibilities

• Tracks changes in SRO, federal and state rules and regulators; identifies related policies and procedures, and updates as needed.
• Provides review of retail communications for the Firm as well as email reviews, escalating to the Manager when issues are 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.
• 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.

Desired Competencies and Skills:

• Demonstrated strong quantitative and analytical skills, including experience identifying, defining and resolving problems and collecting or interpreting data to establish facts and draw valid conclusions.
• Proven experience coordinating multiple complex projects/assignments simultaneously on a timely and accurate basis with a strong attention to detail.
• Bachelor’s degree or commensurate experience within financial services.
• FINRA Series 7, 24, 52/53, 63 or 65/66 preferred
• FINRA Series 6 within three months of hire; FINRA Series 26 and any applicable other registration for the state of residence within six months of hire.

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Premier Benefits to Support YOU

We offer a comprehensive benefits package, including:

• Medical, dental, vision, and life insurance.
• 401(k) savings plan with pension options.
• Paid time off increasing with tenure.
• Tuition reimbursement and individualized career development plans.
• Parental leave and maternity leave with a 4-week transition back to work.
• Access to on-site amenities like a fitness center, cafeteria and more.
• Extensive employee discount program.

Western & Southern is not just a place to work, it’s somewhere to grow, lead, win and make a difference in your career and community.

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