Simplicity Group Holdings is hiring: Compliance Analyst in Summit

Department:      Compliance                       

Position Title:    Compliance Analyst/Licensing and Contracting 

Reports to:         Director of Compliance, Simplicity Group

Summary: The Compliance Analyst will assist the Director of Compliance in the development, direction and implementation of company-wide policies and procedures. This position requires someone with a compliance background and an interest in obtaining deeper knowledge and additional compliance experience related to a RIA and the insurance industry.

 Primary Responsibilities:

·         Lead the Licensing and Contracting function for Simplicity firms

·         Assist in maintaining required books and records

·         Advise on compliance issues and assist Simplicity in development of procedures

·         Support compliance functions such as recordkeeping and communications within the organization

·         Support new business/suitability requirements

·         Stay abreast of regulatory and legal developments and communicates current state of legislative issues to management 

·         Assist with regulatory and compliance training

·         Partner with Director of Compliance to address compliance requirements with subsidiaries

Qualifications:

·         Bachelor’s Degree or comparable experience

·         3 years’ experience in compliance or similar role

·         Understanding of RIA or BD compliance and the related legislative, regulatory, distribution requirements associated with them

·         Experience within a financial institution in a licensing and contracting role or similar.

·         Preferred licenses - Series 6/650 (not required)

·         Ability to read, analyze and interpret both internal and external documents such as general media/publications, professional journals, technical procedures, governmental regulations, policies, proposals, and standard operating procedures

·         Ability to anticipate, monitor, and supervise compliance risks

·         Proficiency with Microsoft Office and Google Suite

Core Competencies:

·         Creative problem-solver

·         Proven strategic decision-making ability

·         Thrives in a highly dynamic, fast-paced environment, within tight deadlines while quickly shifting priorities, serving multiple customers and managing multiple assignments

·         Demonstrated leadership and a self-starter

·         Collaborative team player

·         Able to balance the needs of the business within regulatory parameters

·         Outstanding and consistent communication skills

·         Ability to effectively partner with business clients by anticipating business needs and working toward success in a productive/timely manner within scope of responsibility

·         Strong written and verbal communication skills

·         Demonstrated strong relationship management skills with both internal and external partners, clients

·         Demonstrates ability to use sound judgement and discretion regarding confidential information

 Compensation:

·          Base salary:  $75,000 - $85,000, based on experience

·          Performance bonus target:  10%

·          Employee benefits (health, 401k, life, etc.)

·          Paid Time Off

·          Paid Parking

Location: Summit, NJ; this is a full-time, M-F, in-office position

Travel Requirements:  Limited