1 Sr. Analyst - Ally Invest Employee Supervision Job in Charlotte, NC
SORT BY
A
Sr. Analyst - Ally Invest Employee Supervision
$89k-108k (estimate)
Full Time | Lending & Credit
1 Month Ago
Sorry! This job is no longer available. Please explore similar jobs listed on the left.
Ally is Hiring a Sr. Analyst - Ally Invest Employee Supervision Near Charlotte, NC
Ally and Your Career Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion. From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?
Work Schedule: Ally designates roles as (1) fully on-site, (2) hybrid, or (3) fully remote. Hybrid roles are generally expected to be in the office a certain number of days per week as indicated by your manager. Your hiring manager will discuss this role's specific work requirements with you during the hiring process. All work requirements are subject to change at any time based on leader discretion and/or business need.
The Opportunity This Senior Analyst position supports the Employee Supervision and Trade Surveillance team, which is responsible for monitoring the communications and trading activity of Ally Invests associated persons. Additionally, this team performs branch inspections for the broker-dealer. Work may involve analysis of complex data and implementation and development of procedures in an ever-changing regulatory environment.
At this time, Ally will not sponsor a new applicant for employment authorization for this position
The Work Itself
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 work@ally.com. Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.
Base Pay Range: An individual's position in the range is determined by the scope and responsibilities of the role, work experience, education, certification(s), training, and additional qualifications. We review internal pay, the competitive market, and business environment prior to extending an offer.
Emerging
70000
Experienced
85000
Expert
100000
Incentive Compensation: This position is eligible to participate in our annual incentive plan.
Work Schedule: Ally designates roles as (1) fully on-site, (2) hybrid, or (3) fully remote. Hybrid roles are generally expected to be in the office a certain number of days per week as indicated by your manager. Your hiring manager will discuss this role's specific work requirements with you during the hiring process. All work requirements are subject to change at any time based on leader discretion and/or business need.
The Opportunity This Senior Analyst position supports the Employee Supervision and Trade Surveillance team, which is responsible for monitoring the communications and trading activity of Ally Invests associated persons. Additionally, this team performs branch inspections for the broker-dealer. Work may involve analysis of complex data and implementation and development of procedures in an ever-changing regulatory environment.
At this time, Ally will not sponsor a new applicant for employment authorization for this position
The Work Itself
- Review and disposition associated person communications within the firm’s communication surveillance tool, including recommending rules to create more efficient and effective surveillance.
- Monitor and review associated person activity for potentially undisclosed outside business activities and undisclosed financial and criminal disclosures.
- Review trading activity for associated persons, including both electronic and paper statement review, to ensure compliance with applicable regulatory rules.
- Assist in conducting both in-person and virtual branch and non-branch inspections, including the development of a comprehensive remote branch inspection process following FINRA Rule changes surrounding remote inspections.
- Actively review and recommend program enhancements, including but not limited to additional controls or alerting to create best-in-class program.
- Participate in the implementation of a new trade surveillance program, including testing, credible challenge, and ensuring appropriate procedures are in place before go-live.
- Serve as a resource to the lines of business and enterprise functions for Compliance related matters and initiatives.
- Assist in preparation of Compliance related management reports.
- Assist in the development and administration of procedures.
- Bachelors' degree in business or related major or equivalent experience.
- 3 years related compliance experience; financial services experience strongly preferred.
- Series 7 & 24 required.
- Series 4 strongly preferred.
- Proficiency in Microsoft Excel preferred.
- Working knowledge of applicable laws and regulations.
- Attention to detail and superior written and oral communication skills with a proven ability to communicate and influence effectively at all levels of the organization.
- Ability to identify and make recommendations to maximize efficiency and effectiveness.
- Proven ability to simultaneously accomplish multiple tasks assignments and prioritize work as needed to meet business needs.
- Demonstrated ability to interpret and understand laws and regulations, providing recommendations and solutions.
- Time Away: 11 paid holidays, 20 paid time off days, and 8 hours of volunteer time off, yearly (paid time off is prorated based on start date)
- 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 Ally’s Total Rewards, please visit this link: https://www.ally.com/content/dam/pdf/corporate/ally-total-rewards-snapshot.pdf
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 work@ally.com. Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.
Base Pay Range: An individual's position in the range is determined by the scope and responsibilities of the role, work experience, education, certification(s), training, and additional qualifications. We review internal pay, the competitive market, and business environment prior to extending an offer.
Emerging
70000
Experienced
85000
Expert
100000
Incentive Compensation: This position is eligible to participate in our annual incentive plan.
Job Summary
JOB TYPE
Full Time
INDUSTRY
Lending & Credit
SALARY
$89k-108k (estimate)
POST DATE
08/01/2024
EXPIRATION DATE
08/20/2024
WEBSITE
ally.com
HEADQUARTERS
NORTH CHESTERFIELD, VA
SIZE
7,500 - 15,000
FOUNDED
1919
TYPE
Public
CEO
JAMES OTTO
REVENUE
$10B - $50B
INDUSTRY
Lending & Credit
Related Companies
About Ally
Ally Financial is a digital financial services company that provides online banking services.
Show more
Similar Jobs
Popular Articles
Top 10 Things to Avoid Putting on a Job Application
Read Article
How to Describe Your Education in a Resume
Read Article
How to Write a Memorable Cover Letter in 5 Ways
Read Article
4 Personal Finance Tips to Make During Job Transition
Read Article
4 Best Camera Setups for Interview
Read Article
Keeping a Job Search Journal: 9 Types of Journaling You Can Do
Read Article
