Securities Compliance Analyst

$60,000 - $85,000/Yr

PFSI PFS Investments Inc. - Duluth, GA

Full-time - Entry Level

Hybrid - Duluth, GA

1,001-5,000 employees

About the position

The Securities Compliance Analyst will support the Securities Compliance Department in developing, implementing, and maintaining compliance programs for PFS Investments Inc. This role is suited for a junior compliance professional who will assist in various compliance functions, including supervisory controls, Anti-Money Laundering (AML) compliance, and regulatory inquiries. The position is hybrid, requiring three days onsite in Duluth, Georgia, and two days remote each week.

Responsibilities

• Assist with compliance testing, quality assurance, and ad-hoc reviews to ensure policies and procedures are followed and meet regulatory requirements.
• Perform research and analysis to identify potential issues, trends, risks, and training opportunities, and to identify gaps in policies and procedures.
• Validate corrective action plans to ensure desired results are achieved.
• Identify and escalate potential issues when needed.
• Assist the AML Compliance Officer with the administration of the firm's AML Program.
• Assist with regulatory filings and responses to regulatory examination requests and inquiries.

Requirements

• Bachelor's degree or related major or equivalent work experience.
• Attention to detail and excellent written and oral communication skills.
• Strong analytical skills.
• Ability to function independently as well as cooperatively.
• Proven ability to effectively and efficiently complete multiple tasks and prioritize assignments.
• Knowledge of the securities industry is desired.
• Knowledge of PFS Investments Inc.'s internal systems.
• Series 6 and 26 securities licenses.

Benefits

• Day one health, dental, and vision insurance
• 401(k) Plan with competitive employer match
• Vacation, sick, holiday and volunteer time off
• Life and disability insurance
• Flexible Spending Account & Health Savings Account
• Professional development
• Tuition reimbursement
• Company-sponsored social and philanthropy events