Compliance Analyst
Job ID #: SPF-CAnalyst
Location: AZ-Phoenix
Functional Area: Compliance
Company Name: SunAmerica Financial Group
Employment Type: Full Time - Regular
Education Preferred: Bachelors
Experience Required: 3-5 years
Relocation Provided: No


Position Description
SUMMARY
Support SagePoint Financial, Inc. (“SPFI”) Sales Practice Unit Compliance Department with tracking, recommending and documenting compliance related issues. This unit and the analysts assigned to it support the Supervision Department, OSJ Managers, Registered Representatives, Surveillance and internal departments in the areas of Sales Practice and regulatory policies and procedures. Additionally analysts may from time to time be assigned escalated issues resulting from regulatory inquiries or examinations or internal reviews.

Each Compliance Analyst is responsible for assisting the Compliance Director and the Chief Compliance Officer with investigation and analysis of representatives sales practice history as reflected in external and internal records. The Compliance Analyst will also be responsible for creating and writing letters of understanding, letters of education and other disciplinary type letters to be sent to the field force. Leading, tracking and ensuring closure of sales practice issues while working with supervisors throughout the firm is an important part of this position. The incumbent Compliance Analyst should have industry experience with a broker/dealer or similar, in the regulatory, compliance or legal field. Knowledge of regulatory requirements from the FINRA and SEC as well as the ability to interpret such regulations for a general sales force is expected.

Assist in the monitoring of firm compliance with state/federal law and rules and regulations by providing professional level support to Supervisory Regional Management, MBO Managers, OSJ Managers, Registered Representatives and internal departments. Assemble information and documentation from a wide range of sources as required for investigations and other projects. Provide leadership for time sensitive projects at both the firm level and for the advisor group as needed.

Position Requirements
ESSENTIAL DUTIES AND RESPONSIBILITIES include the following. Other duties may be assigned.

Responsible for organizing, maintaining and closing all internal compliance investigations and/or inquiries for MBOs and Branches in assigned region. Evaluates, assists in remediation while minimizing identified risks to the firm.

Act as point of contact in order to provide information and assistance to Field Supervision, OSJ Managers, Registered Representatives and internal departments regarding compliance issues, SPFI Sales Practice policies and procedures, and industry regulations.

Respond in a timely manner as required by the task assigned.

Maintain an ongoing relationship with Field Supervision, OSJs, Registered Representatives and internal departments in order to educate, guide and assist with compliance related issues and questions. Proactively communicate information in conjunction with compliance communications regarding new or amended firm or regulatory policies. Participate in weekly contact calls with the field hosted by Field Supervision.
Partner with Branch Office Exam to create exam alerts and remediate compliance referrals from BOE as a result of an office exam.

Responsible for organizing, maintaining and closing all incidents where there may have been a privacy breach in a branch offices. This would include evaluating the situation and determining whether or not a breach has occurred, gathering a list of client information, preparing and sending client notifications, working with the Legal Department in notifying regulatory and consumer agencies if necessary and notifying customer service to put client accounts on high alert.

Assist in writing policy and procedures for the department and the Sales Practice manual.

Provide support and direction to offices under examination or audit by SRO, SEC or state securities department representatives.

Provide analytical support to the firm and its stakeholders by identifying high risk activities and through the appropriate internal channels working to mitigate the risk associated with that activity.

Work independently to accomplish individual tasks as requested.

Less than 10% travel but could be on short notice.

TARGET DIMENSIONS
• Must be an effective communicator verbally and in writing. In addition, must be an attentive listener.
• Decisive and action-oriented; commands respect through hard work, maturity and presence.
• Must be flexible in a growing, evolving environment
• Ability to manage large and shifting workloads and priorities.
• Ability to easily move between and among projects and to prioritize as necessary.
• Able to manage multiple tasks and set priorities to meet completion deadlines.

QUALIFICATIONS
Candidate must have working knowledge of internal and external compliance related rules, regulations and policies, (FINRA, state and internal). The ideal candidate must be capable of self-management, multitasking with strong attention to detail. In addition, the candidate will have excellent analytical skills with a thorough knowledge of compliance polices involved with retail sales activity. The position entails access to sensitive, confidential information. The candidate must be capable of working independently as well as within a group. Must be a strong team player, detail oriented with excellent verbal and written communication skills.

EDUCATION and/or EXPERIENCE
Bachelor's degree (B. A.) from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.

About Us
SunAmerica Financial Group is the fourth largest life insurance organization in the United States based on more than $221 billion of admitted assets as of September 30, 2009. It is comprised of several leading life insurance and retirement services businesses, including American General Life Companies, AGLA, VALIC, Western National Life Insurance Company, SunAmerica Retirement Markets, SunAmerica Mutual Funds, SunAmerica Affordable Housing Partners, FSC Securities, Royal Alliance and SagePoint Financial. The unified businesses, which comprise the domestic life and retirement services unit of AIG, offer a comprehensive suite of life insurance, retirement savings products and guaranteed income solutions through an established multi-channel distribution network that includes banks, national, regional and independent broker-dealers, career financial advisors, wholesale life brokers, insurance agents and a direct to consumer platform. Equal Opportunity Employer.