When you ask people what gives them peace of mind to live their best life, having a sense of financial security is usually at the top of the list. Our financial services include employer-based benefits like retirement planning so employers can help their people plan for a comfortable life after they stop working. We also provide personalized financial planning and investment services to help families succeed in every stage of life.
Our Newest Opportunity:
Summary:
The Investment Compliance Analyst is responsible for a broad range of activities that support the firm's compliance oversight obligations with respect to its investment activities for OneDigital Investment Advisors. This role focuses on investment compliance surveillance, testing, and reporting, with an emphasis on maintaining the integrity of the firm's investments compliance program and ensuring adherence to applicable regulatory requirements and internal policies and procedures. This position may be located in Overland Park, Kansas or remote.
Essential Duties and Responsibilities (includes but is not limited to):
• Under the direction of the Senior Director of Compliance, maintain the firm's investments surveillance and testing program ("Program"), including any technology systems that are a component of such Program.
• Monitor the efficiency and accuracy of the Program and, where appropriate, recommend enhancements or changes to the Program.
• Perform ongoing surveillance, testing, and analysis of the firm's trading activity in order to detect (i) potential violations of (a) the firm's compliance policies and procedures and/or (b) restrictions, limitations, or policies imposed by (1) clients and/or (2) the firm's Investment Committee and/or (ii) previously unidentified material risks to the firm. Based on such findings, work with appropriate stakeholders to correct any confirmed violations and make recommendations to the Investment Committee or Chief Compliance Officer on changes to investment policy or the firm's compliance policies and procedures, respectively.
• Prepare reporting for the Chief Compliance Officer, the Investment Committee, and/or the firm's Senior Leadership Team with respect to the status and effectiveness of the Program and the firm's compliance with its policies and procedures regarding investments.
• Assist with required annual testing of the firm's compliance policies and procedures relating to investments, as requested.
• Develop and maintain good working relationships with internal and external verticals and partners (investment management, trading, operations, IT, technology, etc.) and serve as a compliance liaison with members of the firm's Investment Committee.
• Assist in responding to regulatory inquiries/examinations.
• Stay current on relevant regulations, industry best practices, and testing methodologies.
• Perform other assignments and/or duties as may be assigned.
Qualifications, Skills and Requirements:
• Working knowledge of various security types, including but not limited to equities, bonds, options, mutual funds, exchange traded funds, structured notes, variable annuities, and private placements, as well as how they are utilized in various investment strategies and financial plans.
• Working knowledge of prohibited or restricted activities relating to investments under both the Investment Advisers Act of 1940 and the Employee Retirement Income Security Act of 1974 (ERISA).
• Strong understanding of fiduciary governance principles.
• Ability to interpret the impact of new laws on the firm's investment strategies and/or use of investments.
• Self-motivated with excellent time and project management skills, including the ability to adjust priorities in response to unanticipated events and balance team and individual responsibilities; performs work accurately and completely.
• Responsive to managerial direction; exhibits objectivity and openness to new ideas; welcomes feedback.
• Strong verbal and written communication…