Compliance Analyst

Business Unit: USFSJob Family: ComplianceDepartment Name: ComplianceNo. of Openings: 1Full-Time or Part-Time: Full-TimeRelocation Assistance Offered? NoSalary: Salary commensurate with experiencePercent of Travel Required: 0 - 10%What is ING?
ING Insurance Americas is a vital part of worldwide ING Group, one of the largest diversified financial services organizations in the world with operations in more that 50 countries and 112,000 employees. We're a leading provider of financial products and services for individuals and businesses, including life insurance, annuities, mutual funds, retirement plans and employee benefits. ING recognizes the critical role our employees play in our success as a company...we understand the link between customer satisfaction and employee satisfaction. As a result, we're building a different work experience for our employees, an experience that appeals to what they value most in a work relationship.What are the job responsibilities?
This position is the Compliance Department liaison for PrimeVest's sales supervisors, and is responsible for coordinating communication with, and developing and presenting compliance training materials to these individuals. This position is also responsible for composing and issuing compliance communications on behalf of PrimeVest to its employees, representatives and sales supervisors. This position will also receive, investigate, resolve and respond to customer complaints and regulatory inquiries on behalf of the broker-dealers owned by PrimeVest. This includes contacting registered representatives, sales supervisors, and state or regulatory personnel; researching the allegations, analyzing documentation obtained and recommending appropriate action.What else can we tell you?
ING offers a competitive compensation package that includes flexible benefits, pension plan and 401(k) plan with a match, tuition reimbursement, and opportunities for professional growth.
REQUIREMENTS
Who is our ideal candidate?
Our ideal candidate will have a bachelor's degree or equivalent work experience with broker/dealer compliance, or other areas within the financial services industry, such as sales, operations or supervision. NASD Series 7 registration is a minimum requirement and the ability to pass the General Securities Principal exam (Series 24) within 6 months. Additional qualifications include: PC skills including word processing and database management, problem solving skills, excellent written and oral communication skills, good organizational skills, ability to handle a variety of tasks with frequent interruptions, ability to maintain confidentiality and to use discretion in releasing information, good editing skills, eye for detail, ability to take initiative and be self-managed, tact, courtesy, and the ability to deal pleasantly with people, high ethical standards and integrity as well as the ability to work under pressure.