Posted: February 22, 2012

Senior Compliance Analyst

Equity Services, Inc.
Montpelier, VT

Equity Services, Inc. (ESI), Member FINRA/SIPC, is a broker/dealer and registered investment advisor offering an extensive line of financial products and services including mutual funds, unit investment trusts, stock and bond trading, public limited partnerships, real estate investment trusts, variable annuities and asset management services. We are seeking a qualified individual to ensure ESI's main office, offices of supervisory jurisdiction, branch offices, employees and registered representatives, are in compliance with the rules set forth by the SEC, FINRA, MSRB, state Blue Sky laws and ESI internal policies and procedures


Key Responsibilities

The individual in this position will be responsible for:

• Conducting routine on-site inspections of ESI field office locations.
• Presenting annual compliance meetings and other compliance presentations for field and home office personnel.
• Reviewing field and home office sales incentive programs for compliance with regulatory requirements.
• Reviewing and tracking receipt of branch office audits conducted by OSJ supervisors.
• Assisting in conducting tests of internal procedures in accordance with NASD Rule 3012.
• Assist in responding to regulatory inquiries and customer complaints.
• Provide general compliance support to all registered representatives and to other business units within the Firm.

Requirements

• The successful candidate must possess excellent communication and interpersonal skills and be willing to travel 10%-30% of the time (10% regularly & up to 30% during audit season).
• Compliance experience and knowledge of FINRA, SEC and individual state securities rules preferred.
• Series 7 required; Series 24 registration required or ability to obtain within 90 days of employment.
• A bachelor's degree or equivalent in years of experience and knowledge is preferred.


Securities and investment advisory services are offered solely by Equity Services, Inc., Member FINRA/SIPC, One National Life Drive, Montpelier, Vermont 05604 (802)229-3900.

For more information and to apply, please go to our website www.nationallife.com