2008-01-25, 6:05AM CST
"Brokerage Compliance Analyst Position Overview: The purpose of this position is to review brokerage and non-brokerage account and transaction activity to ensure compliance with state/federal law rules and regulations while functioning in a collaborative role with compliance. This position is Responsible for: 1. Reviewing and approving as a Registered Principal new brokerage and direct business accounts. 2. Contacting sales professionals to obtain forms required by VFA Financial Advisors for the actions being requested. 3. Monitoring trade surveillance for compliance with applicable state/federal law rules and regulations. 4. Researching investment products as to their suitability for VFA Clients. 5. Researching client accounts for possible security industry violations. 6. Providing training presentations to company\'s sales professionals- both in person at Basic Sales Training (BST), along with periodic conference calls. 7. Researching customer complaints and providing consultation to Compliance regarding those complaints. The most successful Brokerage Compliance Analysts demonstrate a full understanding of what is going on with the department as a whole, and work well with the representatives in the field as well as the Broker Dealer employees and Compliance Organization: This position reports to the Associate Director of VFA Operations in Houston, Texas. The team consists of 2 Registered Principals (actively signing off on paperwork), 6 New Account Processors, 2 Cashiering Processors, and 1 Supervisor. This position does not have any direct reports at this time. Performance Objectives: 1. Gain the ability to sign off on Mutual fund and Life insurance policies with-in 30 days of employment. 2. After 60 days of employment, demonstrate the ability to sign off on Annuities with minimal supervision. 3. Obtain the NASD Series 51 license, if not already obtained. 4. After 1 year of employment, demonstrate a clear understanding of Broker/Dealer, enough to be able to lead conference calls with no supervision. Challenges: The incumbent should demonstrate strength in abilities to facilitate communication (written, verbal, and through facilitation of meeting and conference calls) between field sales and operational staff to ensure effective and efficient policies and procedures. Experience and Skill Requirements: The purpose of this position is to review brokerage and non-brokerage account and transaction activity to ensure compliance with state/federal law rules and regulations while functioning in a collaborative role with compliance. Knowledge of mutual funds and all variable products is required. Ability to communicate information of complex nature to all levels of the organization both written and verbal. Strong analytical skills- ability to analyze and interpret complex statutory regulations, while applying regulatory requirements to brokerage transactions as well as to internal procedures. Offers alternative procedures when appropriate to comply with regulatory requirements. Education/Experience Requirements- Bachelors degree and prior work experience in a securities related field, or 4+ years of relates securities experience may be substituted for degree requirement. Requires NASD Series 7, 24 and any others necessary due to regulatory requirements. Series 51 is preferred, or can be obtained within 90 days of employment. Position Requirements: About AIG: American International Group, Inc. (AIG) is the world's leading international insurance and financial services organization, with operations in more than 130 countries and jurisdictions. AIG member companies serve commercial, institutional and individual customers through the most extensive worldwide property-casualty and life insurance networks of any insurer. In the United States, AIG companies are the largest underwriters of commercial and industrial insurance and AIG American General is a top-ranked life insurer. AIG's global businesses also include retirement services, financial services and asset management. AIG's financial services businesses include aircraft leasing, financial products, trading and market making. AIG's growing global consumer finance business is led in the United States by American General Finance. AIG also has one of the largest U.S. retirement services businesses through AIG SunAmerica and AIG VALIC, and is a leader in asset management for the individual and institutional markets, with specialized investment management capabilities in equities, fixed income, alternative investments and real estate. AIG's common stock is listed in the U.S. on the New York Stock Exchange and ArcaEx, as well as the stock exchanges in London, Paris, Switzerland and Tokyo. AIG is an Equal Opportunity Employer. About Adicio Products News & Events Clients CareerCast Networks Contact Us Client Login Site Map Home © Copyright 2002 - 2006 Adicio Incorporated For technical support issues contact CareerCast 6.0
Apply Online :
http://www.compliancecrossing.com/lcjsjobdetail.php?akey=9ab22da8f4adbe53590c993e30511492
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- Location: Houston, TX, United States
- Compensation: -
- Principals only. Recruiters, please don't contact this job poster.
- Please, no phone calls about this job!
- Please do not contact job poster about other services, products or commercial interests.
PostingID: 550966625
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