Retail Compliance Analyst

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments.  We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

The individual selected for this role will be primarily responsible for ensuring their designated branch offices are examined according to the Financial Industry Regulatory Authority's (FINRA) Office of Supervisory Jurisdiction (OSJ and Non-OSJ) requirements. Branch Examinations can be virtual or on-site depending on certain considerations. Although the Branch Examinations team works collaboratively and covers branch phone inquiries as a team, the Branch Examinations Analyst is largely expected to work independently and manage their off-site work schedule in an autonomous fashion.

What you are good at:

• Organization and Time Management: Possessing the ability to take on multiple requests at once and effectively complete tasks in a time efficient manner.
• Building Relationships: Connecting with others in a way that fosters trust and creates collaborative relationships
• Initiative: Proactively identify opportunities to enhance compliance processes.
• Team Oriented: Collaborating with team members and other departments across the organization.

Responsibilities:

• Conduct examinations of branch offices, including reviews of supervisory work relative to sales practices and operations. Communicate to branch management staff when processes or policies are not being effectively conducted. Prepare written reports documenting deficiencies, which may require written responses from the branch management team.
• Function as day-to-day compliance contact for retail branch offices and provide advice to branch management about firm policies and procedures and regulatory rules.
• Assist with other routine processes or ad-hoc projects. i.e., regulatory exams.
• Be able to author Letters of Caution from issues originating from a branch examination.
• Assist with the annual review of the Branch Exam Test Matrix and other risk matrices.
• When working from a home location, it is the employee’s responsibility to ensure that the location and all private client information is securely maintained.
• Routine work schedules may be extended due to land or air travel circumstances.

What you have:

• Independent self-starter who can maintain a sometimes-tight schedule under busy circumstances.
• Strong evaluation skills. The ability to interpret policy in relation to the review of the processes being examined.
• The ability to discern when certain issues require immediate escalation to your supervisor.
• Ability to create and deliver effective in-person and virtual presentations.
• Excellent communications skills are at the forefront of the role. Ability to deliver difficult messages in a constructive manner.
• Proficiency in using Webex, MS Outlook, Word, Excel, and PowerPoint.
• Ability to travel 25% of the time. Travel requirements may remain the same or increase in 2024, based on regulatory rule changes.
• The individual must have a valid Driver’s License.

Experience/Education:

• Bachelor’s degree or equivalent experience.
• Required licenses include at a minimum, FINRA Securities Industry Essential Exam and Series 7 Securities License. Highly desirable: FINRA Series 8 or 9/10 Licenses.
• Minimum 3 years regulatory or brokerage experience, preferably compliance related with branch inspection experience or general audit experience.
• Knowledge of broker-dealer products including, but not limited to the following: equities, options, fixed income, derivatives, and Investment Advisory Services.
• Familiarity with FINRA rules relative to retail brokerage office supervisors and employees, such as Branch Managers and Financial Advisors.

Why work for us?

Benefits: Janney believes that its employees are the key to what makes a great company. Although work makes up a large portion of an employee’s life, we believe that a balance between work and non-work activities is essential to maintain quality performance and a positive work atmosphere. We offer a competitive package including Paid Parental Leave, generous Paid Time Off, eligibility for a $2,000 referral bonus and Professional Development Assistance Plan designed to help you make the most of your life at work and at home—today and in the future. Explore further.

Janney is an award-winning full-service financial services firm committed to understanding our clients' needs and providing advice beyond investments. We are equally committed to building a diverse workforce and inclusive culture where employees can use their talents to thrive and grow professionally with the firm.

Janney is dedicated to promoting and supporting diversity within our workplace.  We provide an environment that promotes respect, integrity, teamwork, achievement and acceptance regardless of age, disability, education, gender, gender expression, gender identity, job level, marital status, military status, national origin, parental status, pregnancy, race, religion, sexual orientation, socioeconomic status, or other protected factors. Janney is committed to equal employment opportunities and providing reasonable accommodations to applicants with physical and/or mental disabilities.