Associate II Regulatory (Hybrid) (Birmingham, AL)

| Birmingham, AL
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The work we do has an impact on millions of lives, and you can be a part of it.
We help protect our customers against life’s uncertainties. Regardless of where you work within the company, you’ll be helping provide protection and peace of mind when our customers need it most.

Through the review of a variety of applications and reports, the successful candidate will support the Firm in identifying/mitigating certain risk conditions and maintaining high levels of compliance with industry regulations and internal policies and procedures. The role coordinates and performs risk assessment, monitoring and surveillance activities to ensure that the Surveillance Program remains current and is aligned with the Firm’s Compliance Program. The Surveillance Program oversees BD and RIA customer trade activity, surveillance, portfolio review, and employee trading and conflicts of interest review.

Responsibilities

  • Coordinate and perform ongoing risk assessments and compliance reviews to ensure compliance policies and risk controls are operating appropriately. Identify and analyze factors which may affect risk mitigation and compliance with applicable regulatory requirements.
  • Prepare complete, accurate documentation of compliance monitoring and surveillance activities. Report findings to management and provide timely follow-up on outstanding issues.
  • Review data and metrics for surveillance, escalating and resolving data quality issues including remediation of regulatory commitments that target to improve the quality of surveillances.
  • Develop and maintain a high level of expertise in all applicable regulations, directives and guidance.
  • Identify possible enhancements to Compliance tools and processes and communicate them to the Compliance management.
  • Other responsibilities include preparing, editing and maintaining Surveillance program desk level review procedures and materials; and keeping abreast of regulatory changes, new regulations and internal policy changes in order to further identify new key risk areas;
  • Additional duties as assigned.

Qualifications/Education

  • Knowledge and overall understanding of the securities industry, compliance rules and regulations, risks, and product suitability
  • Proficient with excel and the ability to manipulate large quantities of data
  • Series 7 & 24 license or the ability to obtain these licenses within 6 months
  • Excellent research, analytical, communication and presentation skills
  • Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
  • Excellent project management and organizational skills and capability to handle multiple projects at one time 
  • Bachelor’s degree, experience in data quality, experience in compliance, legal or other control-related function in the financial services firm, regulatory organization, or legal/consulting firm, or a combination thereof; experience in area of focus

Employee Benefits:
We aim to protect our employees' wellbeing through a broad benefits offering. For example, we protect physical wellbeing through health, dental and vision insurance. We protect mental wellbeing through mental health benefits and an employee assistance program. We protect time away from work with a variety of paid time away benefits (e.g., paid time off, paid parental leave, short-term disability, and a cultural observance day). We protect financial wellbeing through contributions to healthcare accounts, a pension plan, and a 401(k) plan with Company matching. All employees are encouraged to protect their overall wellbeing by engaging in ProHealth Rewards, Protective’s platform to improve wellbeing while earning cash rewards.
 
Eligibility for certain benefits may vary by position in accordance with the terms of the Company’s benefit plans.

Diversity and Inclusion:
At Protective, we are committed to providing an inclusive culture where all employees are able to fully contribute and thrive. Our goal is to grow and develop our people, attract diverse talent and support strong, diverse communities.

We support diversity, equity, and inclusion by working to develop a culture of inclusion and belonging led by leaders who develop potential and embrace unique skills and abilities. Our aim is to create an equitable and accountable environment for all leaders and employees that will drive performance and impact business strategy. In this way, we can increase overall diversity for leadership roles and pipelines of talent by maturing our hiring practices, robust development opportunities and focus on retention of key talent.

We are proud to be an equal opportunity employer committed to being inclusive and attracting, retaining, and growing the talents of a diverse and inclusive workforce.

More Information on Protective Life
Protective Life operates in the Insurance industry. The company is located in Birmingham, AL. Protective Life was founded in 2022. It has 2912 total employees. It offers perks and benefits such as Flexible Spending Account (FSA), Disability Insurance, Dental Benefits, Vision Benefits, Health Insurance Benefits and Life Insurance. To see all 52 open jobs at Protective Life, click here.
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