American Century Investments
Compliance Senior Analyst – Client Interactions
American Century Investments, Kansas City, Missouri, United States, 64101
Our Firm
American Century Investments is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, the firm’s 1,400 employees serve financial professionals, institutions, corporations, and individual investors, offering a wide range of investment strategies across a variety of investment disciplines.
We are committed to providing institutional-quality, actively managed solutions with a performance-centered mindset. Our expertise spans global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives, and ETFs.
Privately controlled and independent, we focus solely on investment management. This empowers us to align our decisions with client expectations and concentrate on their long-term money management needs.
Our culture of winning behaviors exemplifies our dedication to clients every single day. Delivering investment results enables us to distribute over 40% of our dividends—more than $1.8 billion — to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization with a controlling interest in American Century Investments. Our dividend payments provide ongoing financial support for the Institute’s work of uncovering the causes, treatments, and prevention of life-threatening diseases, like cancer.
For more information, please visit americancentury.com.
Job Description
The primary responsibility of the Compliance Senior Analyst is to assist in supporting the broker-dealer and transfer agency compliance efforts. In this role, you are an integral part of the Compliance team that is responsible for facilitating American Century’s conformance with SEC, FINRA, MSRB and state regulations as it pertains to the company’s sales, marketing and transfer agency activities. You will assist in the oversight of regulatory processes, in the implementation of new regulatory and compliance requirements and conducting reviews to determine adherence to policies and procedures. The senior analyst works under the guidance of compliance consultants and the supervision of management.
Major Responsibilities:
Assist in conducting research, analysis and preparation of required FINRA and state regulatory filings such as licensing and registration and all applicable amendments.
Conduct onboarding of new employees requiring FINRA and state licensing.
Manage and monitor timely completion of regulatory filings.
Participate in conducting compliance reviews and branch inspections to identify regulatory risk exposure and compliance with firm policies/procedures and regulatory rules. Prepare and report findings.
Assist in firm Annual Compliance Meeting training to registered representatives; coordinate delivery and completion.
You will conduct training on regulatory matters and compliance processes in a small group setting.
Review and update policies and procedures periodically, or as needed.
Deliver and track compliance oversight of processes such as quarterly certifications, acknowledgments and compliance training.
Monitor daily and monthly reporting to ensure accurate updates to internal and regulatory systems.
Research and recommend action for proposed outside activities.
Assist in the coordination of required continuing education program for registered representatives.
Perform other duties and special projects as assigned.
Distinguishing Characteristics:
Develop good working relationships with internal business partners.
Recognize and handle sensitive issues with tact and discretion.
Interpret, understand and apply rules and regulations applicable to SEC, FINRA and MSRB compliance.
Understand internal policies and procedures and apply them to identify exceptions; use judgment appropriately.
Learn and use compliance software tools, such as ACA ComplianceAlpha and Global Relay, to conduct compliance activities and improve productivity.
Highly motivated, organized, detailed and results oriented; with validated ability to prioritize multiple projects and tasks with overlapping and, at times, inflexible deadlines.
Strong analytical reasoning, critical thinking, risk assessment abilities and problem-solving skills.
Develop core skills and knowledge through independent learning.
Effectively present on regulatory matters and conduct training to small groups.
Collaborative within a team, have strong work ethic, and demonstrate integrity.
Work with minimal direct supervision.
Exhibits the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven, Adheres to the highest ethical standards and business practices, and Supports a culture of compliance.
Required Experience:
Bachelor's degree in Finance, Accounting, Business or a related field or equivalent combination of education and work experience.
Two years of investment industry experience
Working knowledge of securities regulatory environment, such as FINRA, MSRB and SEC rules.
Excellent verbal, written and interpersonal communication skills.
Demonstrated history of consistently meeting and/or exceeding performance expectations.
Proficient in the use Microsoft Office Suite - Word, Excel, PowerPoint
Preferred Experience:
Minimum of 2-3 years of prior work experience in accounting, auditing, finance, financial services or regulatory field.
Demonstrated knowledge of controls and risk mitigation with confirmed ability to identify trends and improve compliance operations.
Experience with ACA ComplianceAlpha and Global Relay.
FINRA SIE, Series 7 & 24 (or interest to obtain within reasonable time).
Working Conditions:
Extended hours may be required.
Occasional overnight travel.
Additional Requirements:
Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.
American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.
American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.
#LI-Hybrid
2019 American Century Proprietary Holdings, Inc. All rights reserved.
#J-18808-Ljbffr
American Century Investments is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, the firm’s 1,400 employees serve financial professionals, institutions, corporations, and individual investors, offering a wide range of investment strategies across a variety of investment disciplines.
We are committed to providing institutional-quality, actively managed solutions with a performance-centered mindset. Our expertise spans global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives, and ETFs.
Privately controlled and independent, we focus solely on investment management. This empowers us to align our decisions with client expectations and concentrate on their long-term money management needs.
Our culture of winning behaviors exemplifies our dedication to clients every single day. Delivering investment results enables us to distribute over 40% of our dividends—more than $1.8 billion — to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization with a controlling interest in American Century Investments. Our dividend payments provide ongoing financial support for the Institute’s work of uncovering the causes, treatments, and prevention of life-threatening diseases, like cancer.
For more information, please visit americancentury.com.
Job Description
The primary responsibility of the Compliance Senior Analyst is to assist in supporting the broker-dealer and transfer agency compliance efforts. In this role, you are an integral part of the Compliance team that is responsible for facilitating American Century’s conformance with SEC, FINRA, MSRB and state regulations as it pertains to the company’s sales, marketing and transfer agency activities. You will assist in the oversight of regulatory processes, in the implementation of new regulatory and compliance requirements and conducting reviews to determine adherence to policies and procedures. The senior analyst works under the guidance of compliance consultants and the supervision of management.
Major Responsibilities:
Assist in conducting research, analysis and preparation of required FINRA and state regulatory filings such as licensing and registration and all applicable amendments.
Conduct onboarding of new employees requiring FINRA and state licensing.
Manage and monitor timely completion of regulatory filings.
Participate in conducting compliance reviews and branch inspections to identify regulatory risk exposure and compliance with firm policies/procedures and regulatory rules. Prepare and report findings.
Assist in firm Annual Compliance Meeting training to registered representatives; coordinate delivery and completion.
You will conduct training on regulatory matters and compliance processes in a small group setting.
Review and update policies and procedures periodically, or as needed.
Deliver and track compliance oversight of processes such as quarterly certifications, acknowledgments and compliance training.
Monitor daily and monthly reporting to ensure accurate updates to internal and regulatory systems.
Research and recommend action for proposed outside activities.
Assist in the coordination of required continuing education program for registered representatives.
Perform other duties and special projects as assigned.
Distinguishing Characteristics:
Develop good working relationships with internal business partners.
Recognize and handle sensitive issues with tact and discretion.
Interpret, understand and apply rules and regulations applicable to SEC, FINRA and MSRB compliance.
Understand internal policies and procedures and apply them to identify exceptions; use judgment appropriately.
Learn and use compliance software tools, such as ACA ComplianceAlpha and Global Relay, to conduct compliance activities and improve productivity.
Highly motivated, organized, detailed and results oriented; with validated ability to prioritize multiple projects and tasks with overlapping and, at times, inflexible deadlines.
Strong analytical reasoning, critical thinking, risk assessment abilities and problem-solving skills.
Develop core skills and knowledge through independent learning.
Effectively present on regulatory matters and conduct training to small groups.
Collaborative within a team, have strong work ethic, and demonstrate integrity.
Work with minimal direct supervision.
Exhibits the American Century Investments Winning Behaviors: Client Focused, Courageous and Accountable, Collaborative, Curious and Adaptable, Competitively Driven, Adheres to the highest ethical standards and business practices, and Supports a culture of compliance.
Required Experience:
Bachelor's degree in Finance, Accounting, Business or a related field or equivalent combination of education and work experience.
Two years of investment industry experience
Working knowledge of securities regulatory environment, such as FINRA, MSRB and SEC rules.
Excellent verbal, written and interpersonal communication skills.
Demonstrated history of consistently meeting and/or exceeding performance expectations.
Proficient in the use Microsoft Office Suite - Word, Excel, PowerPoint
Preferred Experience:
Minimum of 2-3 years of prior work experience in accounting, auditing, finance, financial services or regulatory field.
Demonstrated knowledge of controls and risk mitigation with confirmed ability to identify trends and improve compliance operations.
Experience with ACA ComplianceAlpha and Global Relay.
FINRA SIE, Series 7 & 24 (or interest to obtain within reasonable time).
Working Conditions:
Extended hours may be required.
Occasional overnight travel.
Additional Requirements:
Employees are required to be in the office on a scheduled frequency. Adherence to this schedule is essential to fulfilling the expectations of the role.
American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions.
American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases.
#LI-Hybrid
2019 American Century Proprietary Holdings, Inc. All rights reserved.
#J-18808-Ljbffr