Compliance Analyst - Supervision (Financial Services)

Location: Des Moines, Iowa; role based in Urbandale, Iowa

Company

Independent distributor of life, health, and wealth insurance products with a strong insurtech focus, serving agents and clients nationwide.

What you will do

• Supervise the activities of registered representatives and investment adviser representatives as a home office point of contact.
• Identify, monitor, and escalate sales practice concerns, conflicts of interest, and other high-risk activities.
• Review correspondence, trading activity, outside business activities, private securities transactions, political contributions, and personal securities accounts.
• Prepare supervision reports and provide regular updates to the Chief Compliance Officer.
• Develop and maintain written supervisory procedures, desktop procedures, quick reference guides, compliance manuals, and policies.
• Support SEC Rule 206(4)-7 and FINRA Rule 3120 testing, compliance training, and regulatory change management.

Requirements

• Bachelor’s degree or equivalent education and relevant work experience.
• At least five years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience.
• Active FINRA SIE, Series 7, and Series 24 licenses are required.
• Series 4 and Series 53 licenses must be obtained within 12 months.
• Strong written and verbal communication, interpersonal, organizational, and multitasking skills.
• Strong proficiency with Microsoft Office, including Word, Excel, PowerPoint, and Outlook.

Nice to have

• Experience with Pershing, Schwab, and Fidelity platforms.
• Familiarity with variable annuity and variable life products.

Culture & Benefits

• Professional, collaborative environment focused on accountability, teamwork, initiative, and hirify.global.
• Opportunity to contribute to the direction and growth of a hyper-growth company.
• Competitive compensation package with benefits for employees and their families.
• Family-like work environment with professional growth opportunities.