IA Compliance Analyst

Position Purpose: Responsible for supporting advisory compliance routines and initiatives at Sterne Agee as it relates to Sterne Agee's Registered Investment Advisor (RIA) firms; Sterne Agee Investment Advisor Services, Inc. (SAIAS) and Sterne Agee Asset Management, Inc. (SAAM). Provides day-to-day compliance support, responding to questions and clarifying policy. Processes and performs certain specific compliance review functions (daily/weekly/monthly).
Primary Accountabilities/Responsibilities:
? Provide general guidance and support to employees of Sterne Agee companies related to advisory Code of Ethics (COE) and Written Supervisory Policies (WSP).
? Assist in required annual 206(4)-7 review of WSP, including providing assistance in drafting new or changing policies
? Coordinate and participate in monthly Compliance Meetings, including processing and/or gathering meeting information and reports
? Random fee samples
? COE violations
? Customer complaints, etc.
? Perform certain daily/weekly/monthly routines that support the advisory compliance efforts
? Review Envestnet and/or ProSurv reports, rules and outputs to ensure advisor compliance and supervision efforts are supported and addressed.
? Assist in annual (and/or quarterly) required RIA FA reporting
Quarterly Transaction Reports
Annual Holdings Reports
Periodic and Annual Political Contributions
? Monitor and review certain advisory programs ensuring accounts are not in violation of established Investment Policy (IP) Rules to ensure Supervision is current.
? Responsibilities include assisting with the establishment of new FAs as Access Persons of SAIAS or SAAM, including maintaining the current Access Person lists and related FA folders (documents).
? Set up new and make changes/corrections (as needed) to FA Form ADV 2Bs
? Provide assistance in the review and approval of marketing materials and internal communications (related to advisory products/services and/or advisory compliance)
? Research and respond to regulatory requests as necessary.
? Participate in specific compliance related projects as may be assigned from time to time.
? Participate in other firm projects on behalf of the Compliance Department as may be assigned.
? Perform all other duties relating to the business of Sterne Agee as may be assigned from time to time.
? This list of duties and responsibilities is not intended to be all-inclusive and can be expanded to include other duties or responsibilities that management deems necessary.
Job Requirements:
? Bachelor's degree required
? Previous compliance or related experience
? FINRA Series 7, 65 or 66 preferred
? Good understanding of the investment advisory business, including basic custody and trading operations, account set up, billing and performance reporting.
? Familiarity with the Investment Advisers Act of 1940, as well as rules promulgated pursuant to such act.
? Ability to apply industry specific knowledge to current situations and to assist, as needed, in the development of appropriate procedures
? Strong analytical and problem solving skills
? Strong communication skills, both written and verbal
? Strong leadership capabilities
? Competent technical skills, to include strong knowledge of MS Office products
? Strong time management skills and an ability to multi-task
? Ability to identify when escalation is necessary
? The ability to develop positive and productive relationships with business line partners
Physical requirements/Working conditions:
? Climate controlled office environment
? Minimal physical requirements other than occasional light lifting of boxed materials
? Dynamic, time-sensitive environment
We encourage applicants of all ages and experience, as we do not discriminate on the basis of the applicant's age.

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