Analyst II Ally Invest Compliance

• Prepares and completes forms for regulatory requirements as needed including drafting accurate and sufficient narratives.
• Process inquiries received through FINRA SEC BBB CFPB and through the course of normally conducted business.
• Help administer and document Firm Continuing Education Plan including assisting with preparation for Annual Compliance Meetings.
• Conduct continuous monitoring reviews including but not limited to performing analyses and providing credible challenge on firm processes based on regulatory guidance. Assist with background review onboarding and offboarding of associated persons including the timely filing of regulatory forms.
• Perform important compliance tasks and deals with matters typically involving documentation reporting issue and incident management etc.
• Ensure inventory of controls is maintained and any new controls are captured and documented.
• Assist in interpreting and administering operational policies and procedures.
• Coordinate the involvement of Ally stakeholders as necessary.
• Develop validate and maintain step-by-step department instructions/training materials.
• Miscellaneous duties as assigned.

• Associates or Bachelors degree strongly preferred.
• 1 years in compliance or security industry related experience.
• FINRA Series 7 is required.
• FINRASeries 24 is preferred (must be willing to sit for license if not already acquired).
• Excellent oral and written communication skills.
• Capable of prioritizing tasks and meeting deadlines in a fast-paced setting.
• Proactive attitude in problem identification and solution.
• Proficiency in Microsoft Word and Excel.
• Optimistic embraces possibilities encouraging and motivating recognizes change as crafting opportunities.
• Exhibit a strong work ethic and high degree of self-motivation.

Allys compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. Our Total Rewards program includes industry-leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and your life including:

• Time Away:Program starts at 20 paid time off days in addition to 11 paid holidays and 8 hours of volunteer time off yearly (time off days are prorated based on start date and program varies based on full or part-time status and management level).
• Planning for the Future:plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions student loan pay downs and 529 educational save up assistance programs tuition reimbursement employee stock purchase plan and financial learning center and financial coach access.
• Supporting your Health & Well-being:flexible health and insurance options including medical dental and vision employee spouse and child life insurance short- and long-term disability pre-tax Health Savings Account with employer contributions Healthcare FSA critical illness accident & hospital indemnity insurance and a total well-being program that helps you and your family stay on track physically socially emotionally and financially.
• Building a Family:adoption surrogacy and fertility assistance as well as paid parental and caregiver leave Dependent Day Care FSA back-up child and adult/elder care days and childcare discounts.
• Work-Life Integration:other benefits including Mentally Fit Employee Assistance Program subsidized and discounted Weight Watchers program and other employee discount programs.
• Other compensations:depending on the role for which you are considered you may be eligible for travel allowances relocation assistance a signing bonus and/or equity.
• To view more detailed information about Allys Total Rewards please visit this link: We Are:

  Ally Financial is a customer-centric leading digital financial services company with passionate customer service and innovative financial solutions. We are relentlessly focused on Doing it Right and being a trusted financial-services provider to our consumer commercial and corporate customers. For more information visit .

  Ally is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to age race color sex religion national origin disability sexual orientation gender identity or expression pregnancy status marital status military or veteran status genetic disposition or any other reason protected by law.

  We are committed to working with and providing reasonable accommodation to applicants with physical or mental disabilities. For accommodation requests email us at Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.