Compliance Analyst, Senior

Job description

Our Firm. American Century Investments is a leading global asset manager focused on delivering investment results and building long-term client relationships while supporting research that can improve human health and save lives. Founded in 1958, the firm's 1,400 employees serve financial professionals, institutions, corporations and individual investors, offering a wide range of investment strategies across a variety of investment disciplines. We are committed to providing institutional-quality, actively managed solutions with a performance-centered mindset. Our expertise spans global growth equity, global value equity, disciplined equity, multi-asset strategies, global fixed income, alternatives and ETFs. Privately controlled and independent, we focus solely on investment management. This empowers us to align our decisions with client expectations and concentrate on their long-term money management needs. Our culture of winning behaviors exemplifies our dedication to clients every single day. Delivering investment results enables us to distribute over 40% of our dividendsmore than $1.7 billion to the Stowers Institute for Medical Research, a 500-person, non-profit basic biomedical research organization with a controlling interest in American Century Investments. Our dividend payments provide ongoing financial support for the Institute's work of uncovering the causes, treatments and prevention of life-threatening diseases, like cancer. For more information, please visit americancentury.com. Job Description. The primary responsibility of the Compliance Analyst, Sr is to assist in supporting the broker-dealer and transfer agency compliance efforts. In this role, you are an integral part of the Compliance team that is responsible for facilitating American Century's conformance with SEC, FINRA, MSRB and state regulations as it pertains to the company's sales, marketing and transfer agency activities. You will assist in the oversight of regulatory processes, in the implementation of new regulatory and compliance requirements and conducting reviews to determine adherence to policies and procedures. The senior analyst works under the guidance of compliance consultants and the supervision of management. Major Responsibilities: You will assist in conducting research, analysis and preparation of required FINRA and state regulatory filings such as licensing and registration and all applicable amendments. Conduct onboarding of new employees requiring FINRA and state licensing. Manage and monitor timely completion of regulatory filings. Participate in conducting compliance reviews and branch inspections to identify regulatory risk exposure and compliance with firm policies/procedures and regulatory rules. Prepare and report findings. Assist in firm Annual Compliance Meeting training to registered representatives; coordinate delivery and completion. You will conduct training on regulatory matters and compliance processes in a small group setting. Review and update policies and procedures periodically, or as needed. Deliver and track compliance oversight of processes such as quarterly certifications, acknowledgments and compliance training. Monitor daily and monthly reporting to ensure accurate updates to internal and regulatory systems. Research and recommend action for proposed outside activities. Assist in the coordination of required continuing education program for registered representatives. Perform other duties and special projects as assigned. Distinguishing Characteristics: Ability to develop good working relationships with internal business partners. Ability to recognize and handle sensitive issues with tact and discretion. Ability to interpret, understand and apply rules and regulations applicable to SEC, FINRA and MSRB compliance. Ability to understand internal policies and procedures and apply them to identify exceptions; use judgment appropriately. Ability to learn and use compliance software tools, such as ACA ComplianceAlpha and Global Relay, to conduct compliance activities and improve productivity. Highly motivated, organized, detailed and results oriented; with validated ability to prioritize multiple projects and tasks with overlapping and, at times, inflexible deadlines. Strong analytical reasoning, critical thinking, risk assessment abilities and problem-solving skills. Ability to develop core skills and knowledge through independent learning. Ability to effectively present on regulatory matters and conduct training to small groups. Collaborative within a team, have strong work ethic, and demonstrate integrity. Ability to work with minimal direct supervision. Required Experience: Bachelor's degree in Finance, Accounting, Business or a related field or equivalent combination of education and work experience. Two years of investment industry experience. Working knowledge of securities regulatory environment, such as FINRA, MSRB and SEC rules. Excellent verbal, written and interpersonal communication skills. Demonstrated history of consistently meeting and/or exceeding performance expectations. Proficient in the use Microsoft Office Suite - Word, Excel, PowerPoint. Preferred Experience: 2-3 years of prior work experience in accounting, auditing, finance, financial services or regulatory field. Demonstrated knowledge of controls and risk mitigation with confirmed ability to identify trends and improve compliance operations. Experience with ACA ComplianceAlpha and Global Relay. FINRA SIE, Series 7 & 24 (or interest to obtain within reasonable time). Working Conditions: Extended hours may be required. Occasional overnight travel. Additional Requirements: To ensure a safe and welcoming work environment for all employees, clients, and visitors, American Century Investments currently requires all U.S. based new hires to have submitted proof of having received the final dose of an approved COVID-19 vaccine prior to the position start date unless they have obtained a reasonable accommodation. American Century Investments is committed to complying with the Americans with Disabilities Act and all other applicable Equal Employment Opportunity laws and regulations. As such, American Century strives to provide a reasonable accommodation to any qualified individual under the ADA to perform essential job functions. American Century Investments believes all individuals are entitled to equal employment opportunity and advancement opportunities without regard to race, religious creed, color, sex, national origin, ancestry, physical disability, mental disability, medical condition, genetic information, marital status, gender, gender identity, gender expression, age for individuals forty years of age and older, military and veteran status, sexual orientation, and any other basis protected by applicable federal, state and local laws. ACI does not discriminate or adopt any policy that discriminates against an individual or any group of individuals on any of these bases. American Century Investment Services, Inc., Distributor. 2019 American Century Proprietary Holdings, Inc. All rights reserved.