Compliance Analyst to Supervisory Principal (Financial Services Industry)

WestStar serves as an OSJ partnering with more than 60 independent financial advisors and firms in their quest to grow their practices, thrive in their careers, and be better financial advisors for their clients. At WestStar our focus is on personal relationships and individualized support that financial advisors really need. We appreciate you considering WestStar as you take the next step on your career path!

Summary of Essential Duties

The Compliance Operations Analyst will act as the point of contact to help build compliant business partnerships within WestStar Prosperity Group. The goal for this role is to educate, guide, and assist our financial professionals with their compliance responsibilities; ultimately enabling them to grow and be successful. Maintaining ongoing relationships with advisors and OSJs is central to the role, as is helping advisors to feel confident by ensuring that WestStar is meeting the standards and requirements of regulatory agencies and our broker-dealer.

Responsibilities

Oversight & Compliance

Maintain ongoing positive relationships as a regulatory supervisor.Guide and be a resource to all advisors, OSJ Managers, and support staff associated within WestStar Prosperity Group.Ensure advisor and OSJ understanding and compliance with all firm and industry requirements by proactively communicating the firm's policies and procedures.Engage in regular supervisory office visits to promote company supervisory practices and follow up on audit findings.Proactively address potential compliance issues to minimize risk to the client, the OSJ and the firm.Identify and execute training based on advisor needs and changing regulations.Actively monitor the supervisory systems to help in the resolution of heightened transaction review issues and various other situations where the supervisor must be involved to make the final decision.Act as a conduit of information between the Home Office and the field to assist with problem solving.Gather, organize, and communicate information and record-keeping requirements needed for an OSJ to maintain to meet various audit standards.Evaluate and advocate for improvements to the systems and processes used to develop and deliver services to clients.Perform other duties as necessary.

Human Resources & Business Leadership

Coordinate and manage the onboarding process for new reps, including the implementation of compliance management systems.Manage, train, and support direct report staff members.Conduct and/or participate in the performance review process of key staff according to the firm’s standards.

Requirements

Registrations Series 66, 7 and 24 (or be able to attain the 24 within 4 months)Undergraduate degree7+ years industry experienceCompetency with all Microsoft applications and ability to learn new softwareKnowledge of mutual funds, annuities, general securities, and other financial productsExcellent oral and written communicationPassion for delivering customer service and building relationships

Benefits

401(k)401(k) matchingDental insuranceHealth insuranceLife insurancePaid time off