Alight

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Sr Analyst-Legal/Compliance

Sr Analyst-Legal/Compliance

Requisition ID 
2436593
Job Locations 
US-NC-Charlotte
Job Family 
Compliance

Responsibilities

Alight Solutions is looking for a Sr. Analyst - Legal/Compliance

 

Aon Hewitt Financial Advisors, LLC (‘AFA’) and Hewitt Financial Services, LLC (‘HFS’) compliance department provides service, support, and advice to promote Alight’s growth and development while helping employees and AFA/HFS meet their regulatory obligations, and more broadly, to preserve and enhance our reputation for integrity.

 

Your impact as a Sr. Analyst - Legal/Compliance 

 

The Compliance Analyst’s primary role will be the provision of reviewing the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations. Additionally, this role will assist with the day-to-day administration of the Firm’s compliance program including Code of Ethics monitoring and reporting, monitoring and testing of policies and procedures, and completion of special projects.

 

The following duties are generally representative of the nature and level of work assigned and are not necessarily all inclusive.

 

  • Review the firm’s marketing materials, RFPs and client communications to ensure compliance with relevant laws and regulations.
  • Assist in the monitoring of the day-to-day administration of the Firm’s code of ethics/personal trading policies through the Firm’s compliance software, Schwab Technologies;
  • Conceptualize new surveillance to address emerging trends and regulatory rules;
  • Identification, research, and/or resolution of risk issues impacting the business;
  • Review, maintain, and update the Firm’s regulatory filings, including those with the SEC and FINRA (e.g., Form ADV, Form BD, etc);
  • Participate in the annual risk assessment and annual review of the Firm’s policies and procedures;
  • Assist with the Firm’s responses and documentation requests to any regulatory inquiries, third party examiners and internal audit;
  • Conduct appropriate surveillance of business activities;
  • Interact with various departments within the organization to ensure consistency in policies and procedure;
  • Additional administrative duties and special projects, as needed.

 

You Bring Knowledge and Expertise

 

The successful candidate will ideally possess the following qualifications and attributes:

  •  3+ years of experience in a compliance function for a SEC-registered investment adviser or FINRA registered Broker Dealer;
  • Experience reviewing marketing materials and RFPs for an investment adviser;
  • Demonstrated ability to work independently and collaboratively in a team-oriented environment;
  • Strong understanding of the asset management industry and securities markets, as well as knowledge of securities laws that relate to investment advisers and broker dealers (e.g., Investment Advisers Act, Securities Act, FINRA rules);
  • Familiarity with ERISA valued;
  • Has the ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk;
  • Possess a high moral character and professional integrity;
  • Well organized, detail-oriented, and excellent oral and written communication skills.
  • 7, 66, and series 24 preferred and will be required.

Education: 

  • Bachelor's degree or equivalent experience.

We offer you

A competitive total rewards package, continuing education & training, and tremendous potential with a growing worldwide organization.

 

Our Colleague Experience

At Alight Solutions, we are reimaging how people and organizations thrive. To deliver on this purpose, we do things differently. From company leaders to our newest colleagues, we all play a role in bringing our values to life. Every colleague shapes how Alight can become better, stronger and brighter – together. With technology as our catalyst and humanity at our core, we advance each day toward a better future in work and life.

 

About Alight Solutions

As the leading provider of benefits administration and cloud-based HR and financial solutions, we enhance work and life through our service, technology and data. Our 22,000 colleagues across 14 global centers deliver an unrivaled consumer experience for our clients and their people. We are Alight. Reimagining how people and organizations thrive.

 

By applying for a position with Alight, you understand that, should you be made an offer, it will be contingent on your undergoing and successfully completing a background check consistent with Alight’s employment policies. Background checks may include some or all of the following based on the nature of the position: SSN/SIN validation, education verification, employment verification, and criminal check, search against global sanctions and government watch lists, fingerprint verification, credit check, and/or drug test.  You will be notified during the hiring process which checks are required by the position.

 

Alight Solutions provides equal employment opportunities (EEO) to all employees and applicants for employment without regard to race, color, religion, creed, sex, sexual orientation, gender identity, national origin, age, disability, genetic information, pregnancy, childbirth or related medical condition, veteran, marital, parental, citizenship, or domestic partner status, or any other status protected by applicable national, federal, state or local law.  Alight Solutions is committed to a diverse workforce and is an affirmative action employer.

 

DISCLAIMER:
Nothing in this job description restricts management's right to assign or reassign duties and responsibilities of this job to other entities; including but limited to subsidiaries, partners, or purchasers of Alight business units.  

 

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