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Jr. Compliance Analyst

Company: Ullico Inc.
Location: Silver Spring
Posted on: June 22, 2022

Job Description:

Ullico Inc. is actively recruiting for a Jr. Compliance Analyst for our Silver Spring, MD office. This person will manage the day-to-day compliance responsibilities of its SEC-registered investment adviser and affiliated broker-dealer. Responsibilities include performing compliance program duties, ongoing compliance reviews, assigned projects, and providing compliance guidance and support to various investment services business units. -JOB DUTIES/RESPONSIBILITIES:

  • Issue certain securities documents including group annuity contracts for the firm's comingled products. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Monitor changes in laws and regulations that affect the firm and communicate them to various business unit stakeholders using the firm's RCM platform. - - - - -
  • File periodic investment adviser and broker-dealer reports through the Central Registration Depository (CRD) and Investment Adviser Registration Depository ("IARD") platforms. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Perform bimonthly FINCEN reviews. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Perform compliance review of new client files including performing AML and OFAC and reviewing Blue Sky laws. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Perform compliance reviews of electronic communication and social media of associated persons of the firms.
  • Maintain and update each firm's Business Continuity Plan and other written procedures as needed. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Coordinate background checks on new firm personnel. - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - - -
  • Respond to inquiries from various operational areas.
  • Assist in the management of regulatory examinations by FINRA and the SEC. - - - - - - - - - - - - - - - - - QUALIFICATIONS:
    • Bachelor's Degree and a minimum of three to five years of related experience.
    • Prior experience in a compliance role at a registered investment adviser and/or broker-dealer;
    • Good working knowledge of the Investment Advisers Act of 1940;
    • Excellent written, oral, and interpersonal communication skills;
    • Ability to exercise sound judgment in identifying issues;
    • Strong attention to detail;
    • Demonstrates accountability and ability to prioritize to meet deadlines;
    • Strong organizational skills, having the ability to maintain orderly documentation and track issues/recommendations;
    • Proficient in MicroSoft Office Suite (Word/Excel);
    • Proven project management skills;
    • Seeks opportunities to learn;
    • Collaborates in a fully inclusive and open manner. -For over 90 years, Ullico, the only labor-owned insurance and investment company, has been a proud partner of the labor movement, keeping union families safe and secure. -From insurance products that protect union members, leaders and employers, to investments in building projects that have created thousands of union jobs, our customers continue to trust us with protecting their families, employees, businesses and investments. -For additional information, visit www.ullico.com.We offer a competitive starting salary and an outstanding benefits package including health/dental/vision, 401(k) and pension plan. -For immediate consideration please forward your cover letter and resume to: HRDRESUME@ullico.com (please include position title in the subject line). Fax 202/962/8856. Ullico is an Equal Opportunity Employer. - Ullico participates in E-Verify.

Keywords: Ullico Inc., Silver Spring , Jr. Compliance Analyst, Professions , Silver Spring, Maryland

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