Mutual of America Financial Group
Job Title: Compliance Analyst
Location: Boca Raton, FL
Who We Are:
At Mutual of America Financial Group, we help people build the assets they need to achieve greater financial security. Our Company is built upon a solid foundation of integrity, excellence, and social responsibility. We were founded in 1945 to provide small and mid-sized nonprofit organizations with pension and retirement-related services, along with leading customer support. Today, we provide these services also to for-profit companies, as well as to governmental entities, Tribal enterprises, institutional investors, and individuals. We work diligently to understand the needs of our customers so we can help them achieve their financial savings goals.
We are committed to bringing talented and motivated people together to help our customers achieve a financially secure future.
Role Summary:
This role will report to the Senior Manager of the Broker-Dealer Compliance team. As a Compliance Analyst on our team, you will assist with improving processes for insurance licensing, FINRA registration, and other regulatory compliance tasks This will include serving as a liaison with the firm’s regulators and the firm’s representatives. The analyst will have a key role in the preparation and delivery of compliance training for a FINRA and SEC-registered broker-dealer. Additionally, this individual will assist the Compliance team with the review of operating practices and administrative procedures to determine if they are within Company standards and meeting regulatory requirements. The ideal candidate will possess a strong ethical standard and can help promote an effective compliance program for Mutual of America.
Responsibilities:
Assist with FINRA registration and state insurance licensing of firm representatives and identify opportunities to enhance workflows and processes.
Required Qualifications:
Preferred Qualifications:
What we offer you:
The salary range below describes the minimum to maximum base salary range for this role. The role is also eligible for an annual bonus, whereby total compensation may exceed this range depending on individual and / or company performance.
Base Salary Range:
$57,000 - $85,500
Visit www.mutualofamerica.com/careers for additional details about life at Mutual of America. You can also follow us on Twitter: @mutualofamerica | Facebook: @mutualofamerica
Mutual of America Financial Group provides equal employment opportunity to all qualified employees and applicants for employment regardless of race, color, creed, religion, sex, pregnancy, national origin, ancestry, citizenship status, age, marital or partnership status, sexual orientation, gender identity or expression, disability, genetic predisposition, veteran or military status, or any other classification prohibited by applicable law.