Regulatory Compliance Analyst
Greater Denver Area
About SRS Acquiom
At SRS Acquiom, our sole focus is on making M&A deals happen more efficiently. Since 2007, we have been continuously innovating to solve issues for some of the industry’s most sophisticated buyers, sellers, and counsel. Our top-tier team has supported more than 2,000 deals including high-profile transactions such as Google’s acquisition of Nest, Facebook’s acquisition of Oculus and Yahoo’s acquisition of Tumblr. We are looking for extraordinary people to help drive our continued success. If you are looking to join a growing, entrepreneurial environment in an established company, we want to hear from you! Visit www.srsacquiom.com to learn more.
Acquiom Financial and Acquiom Insurance are subsidiaries of SRS Acquiom. Acquiom Financial is a limited purpose broker-dealer and Acquiom Insurance is a retail broker of institutional transaction risk products.
The Regulatory Compliance Analyst will be responsible for managing the day to day aspects of the compliance program associated with our regulated products, including the activities of our limited purpose broker/dealer that distributes insurance and annuity type products to institutions involved in an acquisition transaction as part of their escrow needs, as well as our insurance broker that distributes transaction risk insurance products. This role is based in Denver and reports to the General Counsel/Chief Compliance Officer.
- Assist the Chief Compliance Officer to maintain all broker-dealer policies and procedures, including email surveillance program, outside accounts review program, marketing materials review program, branch office reviews, etc.
- FINRA reporting relating to registered representatives and required broker-dealer firm notices
- Records retention
- Registered representative (FINRA) licensing, onboarding and off-boarding
- Insurance regulatory/licensing matters for all states, for both entity and individual licensees
- Manage individual licensee appointments with insurance partners
- Track and schedule annual training requirements, track continuing education requirements, and track and complete licensing renewals, for both FINRA and state insurance requirements
- Prepare for FINRA examinations
- Coordinate independent AML testing
- Experience in FINRA rules and regulations with respect to broker-dealer
- Experience with state by state insurance regulatory compliance
- 5 plus years operating in compliance programs, or in a paralegal role either in a regulated company’s internal compliance program or in a law firm serving regulated company clients in financial/insurance industry
- Strong relationship management, interpersonal and leadership skills
- Strong presentation, oral and written communication skills
- Strong project management skills
- B.A./B.S Degree minimum
- Any of Series 6, 7, 24, 26 or 99 licenses a plus, but not required
A few benefits our employees enjoy
- Comprehensive benefit plans (medical/dental/vision) starting on day 1
- 401(k) with 4% matching
- Discretionary time off
- Fitness Credit
- Several pre-tax plans (dependent care, transportation, flexible spending)
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