Securities Compliance Analyst — Risk & Regulatory Oversight

Western & Southern Financial Group; Cincinnati (OH); Hybride; USD 70 000 - 90 000; Plein temps

Résumé du poste

Western & Southern Financial Group is seeking a Compliance Analyst to oversee internal controls, compliance, and monitoring for the Securities Entities. You will review policies, assist with regulatory filings, and support investigations while ensuring timely risk mitigation.

The role requires strong analytical, communication, and project-management skills, with ability to manage multiple deadlines and collaborate with local and field teams. Travel up to 10% may be required.

Qualifications

• Bachelor's degree or commensurate experience in financial services (preferred).
• Typically requires up to 2 years of relevant experience (required).
• Demonstrated ability to manage multiple complex projects simultaneously with strong attention to detail.

Responsabilités

• Identify risk factors, regulatory requirements, and document control environments.
• Track changes in FINRA, federal and state rules; update policies and procedures.
• Review retail communications and escalate issues to management.
• Conduct AML surveillance, and assist in compliance training and reporting.
• Coordinate with Compliance groups and ensure adherence to Codes of Ethics and Written Supervisory Procedures.

Connaissances

Attention to detail

Project management

Team collaboration

Verbal & written communication

Analytical skills

Time management

Formation

Bachelor's Degree

Outils

Microsoft Office

Mainframe applications

Legal and Regulatory research applications

Description du poste

Western & Southern Financial Group is seeking a Compliance Analyst to oversee internal controls, compliance, and monitoring for the Securities Entities. You will review policies, assist with regulatory filings, and support investigations while ensuring timely risk mitigation.

The role requires strong analytical, communication, and project-management skills, with ability to manage multiple deadlines and collaborate with local and field teams. Travel up to 10% may be required.