About the team Who We Are As a CPA-based financial services firm, we bring together the talents and knowledge of key advisors. Our collaborative approach demonstrates our dedication to each client and their success, and culminates in solutions, ideas and opportunities.
At Eide Bailly Financial Services, cial planning is the deg core of who we are, as well as the foundation of each of our client relationships. As a Firm, we strive to build relationships that go beyond just quarterly account statements or portfolio investment returns. Instead, our goal is to truly get to know our clients and to gain a deeper understanding of their personal goals. Our academic, research-driven approach to investing, along with insurance planning strategies, combine to help clients successfully navigate the changing seasons of life.
About the Team We promote a happy workplace by making work-life balance a daily practice and actively engaging in the communities we serve. Our dedication to service is showcased in our Firm's charitable donation match and focus on encouraging staff to volunteer their time to causes close to them. We also support living healthier lifestyles by offering additional perks like a Wellness Benefit to be spent on fitness-related purchases every year. These are just some of the reasons why we remain an employer of choice for today's top talent.
Career you will have
Financial Services Compliance Analyst
Job you will do
Typical Day in the Life
A typical day as Financial Services Compliance Analyst might include:
- Work with Compliance Manager to develop, train and administrate procedures that assure the investment advisor representatives comply with all applicable laws, regulations and company compliance rules.
- Perform front-end and post business forms and trade review including but not limited to approving/rejecting mutual funds, VAs/VUL, EIAs, direct with the product sponsor, alternative investments and third-party money managers.
- Review social media, email and written correspondence based on key word/phrase flags within 15 days of the communication.
- Review, approve and retain compliance logs such as terminated log, check blotter, gifts and non-cash compensation.
- Review all advertising and sales literature.
- Perform other duties as assigned.
Who You Are - You have your Series 24, 7 and 66 licenses.
- You have 5+ years of experience working in a financial services or compliance-related position.
- You love the details and there has never been a deadline you did not meet!
- You can maintain effective working relationships with coworkers.
- You are proficient with computers, Microsoft office and various other industry-related software packages.
Must be authorized to work in the United States permanently without the requirement of sponsorship at any point in the future.
What to Expect Next
We'll be in touch! If you look like the right fit for our position, one of our recruiters will be reaching out to schedule a phone interview with you to learn more about your career interests and goals. In the meantime, we encourage you to check us out on Facebook, Twitter, Instagram, Pinterest or our About Us page.
#LI-DNP
Where you can work
Fargo, ND-ND05; Minneapolis, MN-MN20
How much you will work
full-time
