Compliance, Analyst Supervision

Compliance Analyst - Supervision We are seeking a Compliance Analyst - Supervision responsible for supervising all activities of registered representatives and investment advisor representatives and serving as a home office point-of-contact. This is a ground floor opportunity with a dynamic firm with experienced leadership. This role will be multi & cross functional to join a team building a differentiated model in the Financial Services industry. The following are the primary responsibilities for this role based in Urbandale, Iowa: • Identify, monitor, and escalate potential sales practice concerns, conflicts of interest, and other high-risk activities. • Review and approve written and electronic correspondence, blotters, outside business activities, private securities transactions, political contributions, personal securities accounts and trading activity. • Provide regular supervision reports and updates to the Chief Compliance Officer (CCO). • Develop, maintain, and update Written Supervisory Procedures, Desktop procedures and quick reference guides • Assist with Investment Adviser and Broker Dealer compliance testing in accordance with SEC Rule 206(4)-7 of the Investment Advisers Act of 1940 and FINRA Rule 3120 • Assist with the development of compliance training and education materials for financial professionals and track completion • Monitor and review trading activity in representatives outside brokerage accounts • Contribute to regulatory change management assignments and assist with compliance manual and policy updates • Other duties and projects as assigned Desired Skills and Experience: • Bachelor's degree or equivalent combination of education and relevant work experience • Minimum of 5 years of broker-dealer and investment adviser brokerage operations, supervision, or compliance experience • Active FINRA SIE, Series 7 and Series 24 licenses required, Series 4 & 53 within 12 months • Committed to creating a professional environment that places a high value on accountability, handling multiple tasks, and teamwork • Excellent interpersonal communication skills, both written and verbal • Strong technical skills in the MS Office software suite (Word, Excel, PowerPoint, Outlook, etc.) • Ability to work independently and take initiative while being part of a team • Proven work ethic with a high level of integrity to build trust with our clients and colleagues • Excited about joining an experienced team and contributing to the direction and growth of the company • Experience with Pershing, Schwab and Fidelity's platforms preferred • Familiarity with variable annuity and variable life products helpful