Sr Compliance Consultant - Testing & Surveillance

Sammons Financial Group Companies; West Des Moines (IA); Presencial; USD 62.000 - 128.000; Jornada completa

Ventajas ofrecidas por este puesto de trabajo

Health coverage for you and family

ESOP (Employee Stock Ownership Plan)

401(k)

Friday afternoons off

Paid time off

Tuition reimbursement

Volunteer time off

Company-wide giving/matching program

Descripción de la vacante

Sammons Financial Group is seeking an experienced Compliance Professional in West Des Moines, IA to conduct and enhance testing across investment adviser, broker-dealer, and registered investment company programs. You will independently plan risk-based reviews, evaluate controls, and drive remediation with business partners.

The role requires 7–10 years in compliance or related finance areas, strong knowledge of SEC/FINRA rules, and the ability to communicate findings clearly to stakeholders.

Formación

• Bachelor's degree in a related field preferred.
• Typically 7–10 years in compliance, risk management, regulatory affairs, or related finance role.
• Experience supporting investment advisers, broker-dealers, or registered investment companies.
• Strong knowledge of SEC/FINRA requirements applicable to these entities.

Responsabilidades

• Develop and execute risk-based compliance testing and monitoring across advised activities.
• Independently plan testing engagements and document sampling, results, and conclusions.
• Assess design and effectiveness of policies, procedures, and internal controls.
• Support 38a-1 compliance programs and annual compliance reporting.
• Conduct broker-dealer testing related to supervisory controls and regulatory requirements.
• Analyze data to identify regulatory, compliance, or control concerns.
• Document testing methodology and findings clearly for leadership.
• Lead or contribute to risk assessments and remediation tracking.

Conocimientos

Analytical thinking

Investigative skills

Organizational skills

Problem-solving skills

Written communication

Verbal communication

Presentation skills

Relationship-building

Ability to manage multiple reviews

Educación

Bachelor's degree in business/finance/risk management/legal studies

Herramientas

Microsoft Office

Regulatory systems

Data analytics tools

Descripción del empleo

What You Can Expect In This Role

This role is responsible for conducting and enhancing compliance testing and monitoring across the organization’s investment adviser, broker-dealer, and registered investment company compliance programs. You will independently plan and execute risk-based reviews, evaluate the effectiveness of compliance controls, identify potential gaps, and work with business and compliance partners to develop practical solutions and drive remediation. The ideal candidate brings experience across investment adviser and broker-dealer compliance and is comfortable analyzing complex requirements, identifying risk, and communicating findings to a range of stakeholders.

This role is responsible for conducting and enhancing compliance testing and monitoring across the organization’s investment adviser, broker-dealer, and registered investment company compliance programs. You will independently plan and execute risk-based reviews, evaluate the effectiveness of compliance controls, identify potential gaps, and work with business and compliance partners to develop practical solutions and drive remediation. The ideal candidate brings experience across investment adviser and broker-dealer compliance and is comfortable analyzing complex requirements, identifying risk, and communicating findings to a range of stakeholders.

What You'll Do In This Role

• Develop and execute risk-based compliance testing and monitoring across investment adviser, broker-dealer, and registered investment company activities.
• Independently plan testing engagements, including defining scope, identifying applicable requirements and controls, selecting samples, documenting testing, and evaluating results.
• Assess the design and effectiveness of compliance policies, procedures, supervisory processes, and internal controls.
• Support the organization’s 38a-1 compliance program, including testing, documentation, deficiency tracking, remediation, and annual compliance reporting.
• Support investment adviser compliance reviews and monitoring, including activities related to the effectiveness of the compliance program and identified regulatory risks.
• Conduct broker-dealer testing and monitoring related to supervisory controls, sales practices, communications, registration and licensing, and other applicable regulatory requirements.
• Analyze reports, transactions, exception activity, and other data to identify potential regulatory, compliance, or control concerns.
• Clearly document testing methodology, results, findings, and conclusions in accordance with established compliance standards.
• Identify control gaps, trends, and root causes and work with business and compliance partners to develop appropriate corrective actions.
• Track identified findings and remediation activities through resolution and validate corrective actions when appropriate.
• Communicate testing results, findings, and recommendations clearly to Compliance leadership, business partners, Legal, and other stakeholders.
• Lead or contribute to compliance risk assessments and use identified risks to help inform testing and monitoring priorities.
• Recommend and implement enhancements to testing methodologies, monitoring activities, controls, workflows, and documentation.
• Support regulatory examinations, internal audits, due diligence requests, and other reviews by providing testing documentation and subject matter expertise.
• Monitor regulatory developments and assess whether changes to testing, monitoring, policies, or controls are needed.
• Lead compliance projects and program enhancements related to areas of responsibility.
• Build trusted partnerships across Compliance, Legal, Risk, Internal Audit, and the business to identify issues, resolve concerns, and strengthen the overall compliance program.
• Embrace Sammons Financial Group Companies shared values of Accountability, Connection, Openness, Respect, and Integrity.
• Maintain regular attendance in accordance with the Company Attendance and Punctuality Policy to meet business service levels and workflow demands.
• Participate in other compliance initiatives and projects as needed.

What We're Looking For

• Bachelor’s degree in business, finance, risk management, legal studies, or a related field preferred. Equivalent relevant experience may be considered.
• Typically, 7 to 10 years of experience in compliance, risk management, regulatory affairs, internal audit, or a related financial services role.
• Compliance experience supporting investment advisers, broker-dealers, or registered investment companies, with experience across multiple regulatory frameworks strongly preferred.
• Strong knowledge of SEC and FINRA requirements applicable to investment advisers, broker-dealers, and registered investment companies.
• Demonstrated experience conducting compliance testing, monitoring, risk assessments, control reviews, or similar assurance activities.
• Experience with 38a-1 compliance programs, registered investment companies, or registered separate accounts preferred.
• Ability to design and execute testing independently, analyze results, identify meaningful issues, and reach well-supported conclusions.
• Experience identifying control gaps, developing recommendations, tracking remediation, and validating corrective actions.
• Strong judgment and the ability to interpret complex regulatory requirements and apply them to business processes and controls.
• Strong analytical, investigative, organizational, and problem-solving skills.
• Ability to analyze data, identify patterns and exceptions, and translate findings into practical compliance recommendations.
• Clear written, verbal, and presentation skills, including the ability to communicate findings and difficult messages effectively and professionally.
• Strong relationship-building skills and the ability to work effectively with business partners and stakeholders at different levels of the organization.
• Ability to independently manage multiple reviews and projects, set priorities, and follow work through to completion.
• Attention to detail and a consistent approach to testing documentation and workpapers.
• Knowledge of insurance operations, variable insurance products, registered separate accounts, or insurance regulations is a plus.
• Proficiency with Microsoft Office applications and the ability to learn compliance testing, monitoring, data analytics, and regulatory systems.
• Series License-6 and Series License-26 Or
• Series License-7 and Series License-24 or ability to obtain within 120 Days Required
• Some travel to company offices and conferences annually required.

Other Requirements

• Criminal background check required.
• If the position is in the SIG business unit, Annuity New Business Securities team, or if we are holding securities licenses, FINRA regulations require fingerprinting for this position; if we are holding securities licenses, a credit check will also be required. Management reserves the right to determine and approve incumbent suitability for this position.

Salary Range Information

USD $61,622.00 - USD $128,378.00 /Yr. Range includes data points from multiple labor markets. Specific range is dependent on the labor market where the incumbent will be hired to perform the position. Starting salary is dependent on candidate qualifications and experience. For a narrower salary range specific to your labor market, please inquire.

What you can expect when you join Sammons Financial Group

• Comprehensive health coverage for you and your family, including Medical, Dental, Vision, HSA & FSA options, and term life insurance.
• Competitive compensation with a performance-based incentive program tied to clear goals and individual and/or company success.
• Invest in your future with our 100% company-funded Employee Stock Ownership Plan (ESOP), plus automatic enrollment in our 401(k).
• Work-life balance that means something. Friday afternoons off year-round, generous paid time off, and paid holidays.
• Commit to your growth with paid development time, tuition reimbursement, and professional development opportunities across industry, individual, and leadership programs.
• Make an impact beyond the workplace through volunteer time off, and our company nonprofit matching gift program, supporting the causes that matter most to you.
• An ownership culture that inspires; join a connected, values-driven workplace where employees take accountability, support one another, and are empowered to do their best work—together shaping our future shared success.

Work Authorization/Sponsorship

At this time, we’re not considering candidates that need any type of immigration sponsorship now or in the future or those needing work authorization for this role (This includes, but is not limited to students on F1-OPT, F1-CPT, J-1, etc.)

Additional Information

Sammons Financial Group Is An Equal Opportunity Employer

All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, or any other characteristic protected by applicable law.

ADA

Sammons Financial Group is committed to providing reasonable accommodations to qualified individuals with disabilities in all aspects of the employment process. If you need assistance or a reasonable accommodation at any stage of the application or hiring process, including navigating our website or applying for a position, please contact [e-mail] or call 800-728-2987.

E-Verify

Sammons Financial Group participates in E-Verify and will provide the Social Security Administration and, if necessary, the Department of Homeland Security with information from each new employee’s Form I-9 to confirm work authorization.

Policy for External Search Firms and Agencies

Sammons Financial Group maintains an internal Talent Acquisition function and does not accept unsolicited resumes or candidate submissions from search firms, staffing agencies, or other third-party recruiting vendors. Please review our Recruitment Agency Policy for additional information here.