Compliance Analyst, NASD Member

Responsibilities include review and examination of exception reports, transactions and examination of Office of Supervisory Jurisdiction (OSJ); may investigate and resolve complaints; review various business activities for compliance with SEC, NASD and State Securities regulation at the director of management.Review customer transactions, exemption reports and follows up issues.
Reviews reports from internal audit staff and Regional OSJ Supervisors and follows up deficiencies to assure correction.
Examine and investigate complaints, prepares reports for FFS management.
Examine OSJ branch activities and ensure any deficiencies are corrected.The Farmers Insurance Group of Companies are widely respected and well-established with over 75 years of experience. We pride ourselves on the positive impact we have on our community, as an insurance and financial services organization and as an employer. Farmers also offers full time regular employees an outstanding benefits package including 100% company-funded profit sharing and pension plans, tuition assistance, medical, dental and vision insurance, as well as paid holidays, vacation, and personal days.
REQUIREMENTS
Education Requirements:
Four year college degree in Business, Economics or Finance desired. NASD Series 6, 26 and 63 (NASD Series 7 and 24 may be substituted)required. Previous audit or regulatory examination experience a plus. Must be able to communicate information orally in a clear, concise, and well-organized manner.