Compliance Auditor

Join Western & Southern - Somewhere You Want to BeAt Western & Southern, is somewhere to grow, lead, win and do good for others. Our supportive culture, continuous learning opportunities and connection to our local communities make our company the ideal place for a career. For more than 135 years, our long-term success is fueled by a deep commitment to customer service and our community.Ranked #29 on the American Opportunity Index (AOI), Western & Southern is among the top 100 companies for career growth. We are dedicated to empowering our associates and helping them maximize their talents. We take pride in our award-winning talent development team and our recognition as a Top 10 Military Friendly Employer and Top Spouse Employer. Hear what our associates say about their experience at W&S!Our Culture: Excellence and CollaborationWestern & Southern is built on a culture of integrity, top-notch performance, teamwork and collaboration. We're committed to hiring and developing professionals who strive for excellence, demonstrate strong ethics and make fact-based decisions. Our associates are empowered to chase their career dreams while being supported every step of the way.A Day in the Life of a Compliance AuditorThe Compliance Auditor manages, supports and provides compliance oversight and monitoring of the Firm's internal control, compliance, risk management and operational functions. The primary focus of this position is to ensure compliance related investment and quality assurance processes are managed and regulated, and client risks are sufficiently mitigated in a timely manner.Duties and ResponsibilitiesIdentifies key risk factors, including researching and identifying regulatory requirements, documenting the control environment designed to comply with the stated requirements, assessing nature of risk factors, identifying gaps in the control processes and advising and, as applicable, instituting solutions or controls to mitigate risk.Tracks changes in SRO, federal and state rules and regulations, identifies related policies and procedures, and updates as needed; this includes revising or writing the policy, notifying the appropriate parties and providing any necessary training.Manages the retail communications review process including maintenance of the social media policy and training.Conducts FinCEN/OFAC and other AML surveillance activities, to include by not limited to review, reporting, and filing of Suspicious Activity Reports. Works with manager to conduct annual broker-dealer / investment adviser / mutual fund audits to meet regulatory requirements.Desired Competencies and Skills:Bachelor's Degree with commensurate experience within financial services. Advanced business, law or operations degree. (Preferred)Typically requires 4 to 6 years of relevant experience. Demonstrated knowledge of FINRA, SEC and MSRB rules and regulations.Demonstrated thorough knowledge of the insurance, securities and investment advisory industry.FINRA SIE and Series 6 within 180 Days of hireFINRA Series 26 and any applicable other registration for the state of residence within nine months of hireAdvanced certification preferred: CPA, CRCP, IACCP, CFA Investment Foundations Program, CFA, CSCP, CFE, CAMSTo view the full job description please visit - Benefits to Support YOUWe offer a comprehensive benefits package, including:Medical, dental, vision, and life insurance.401(k) savings plan with pension options.Paid time off increasing with tenure.Tuition reimbursement and individualized career development plans.Parental leave and maternity leave with a 4-week transition back to work.Access to on-site amenities like a fitness center, cafeteria and more.Extensive employee discount program. Western & Southern is not just a place to work, it's somewhere to grow, lead, win and make a difference in your career and community. Learn more at /careers/home-office-careers

Created: 2025-03-03