Senior Analyst, Corporate Compliance

If you're passionate about being part of a diverse organization that enables a Fortune 100 company to deliver innovative business solutions with excellence, then Nationwide's Legal team could be the place for you!

At Nationwide, "on your side" goes beyond just words.

Our customers are at the center of everything we do and we're looking for associates who are passionate about delivering extraordinary care.

This position is a critical role in NF Compliance holding the responsibility of completing tasks associated with the licensing and registration functions, conflicts of interest review and surveillance oversight of the Broker Dealers and Investment Adviser representatives.

The Senior Analyst position assists all Registered Representatives of the broker dealers and registered investment advisers with securing that all regulatory requirements are met in a timely manner and will manage the review of the outside brokerage account activity for Registered Representatives.

Additionally, this position assists with activities supporting the licensing and registration and conflicts of interest reviews and completion of surveillance testing related to the activities of Registered Representatives, as well as assisting with hierarchy reporting and maintenance, departmental metrics, and helping to build strong relationships with business partners.

We are seeking candidates with advanced technical and organizational skills, strong multitasking abilities, and keen attention to detail.

Experience in reporting and reconciliation, along with excellent communication skills, is essential.

Candidates with fundamental knowledge in data analytics are desired, and proficiency in tools like Power BI and Power Automate is advantageous.

Familiarity with the NF business organizational structure is beneficial.

While not required, holding or acquiring FINRA Series 7 and 24 licenses is preferred for this position.

Core Duties and Responsibilities: * Performance of licensing and registration activities and conflicts of interest reviews for roughly 2,400 registered associates.

* Maintenance of the supervisory hierarchy of the broker dealers within the NF organization.

* Manages the tracking and conflicts of interest review of disclosed outside brokerage accounts by registered representative.

* Performs scheduled Surveillance Testing related to the activities of Registered Representatives and investment advisors.

* Maintains related regulatory records for accurate information relating to firm books and records and various procedures and approvals.

* Has direct interactions with regulators (i.e.

FINRA, state securities division or state DOI), senior management, sales force and other internal customers.

Responds to inquiries and provides detailed responses in a timely manner.

Job Description Summary Are you someone who is compelled to "do the right thing" and able to make decisions to ensure regulatory and legal compliance that protects a business and its customers?

If you thrive in an environment where you can tackle tricky issues and achieve business goals within the complex, highly regulated insurance industry, we want to know more about you!

We work across the enterprise to help find innovative ways to work through issues.

Nationwide's culture of compliance and passion for providing extraordinary care to its customers makes the Office of Compliance & Ethics a valued partner within Nationwide.

As a Senior Analyst, you will help to ensure that business operations are conducted in compliance with regulatory and legal requirements and company policies.

You'll participate in various types of compliance reviews with business units to detect compliance related issues and help build and deliver innovative solutions.

Job Description Key Responsibilities: * Analyzes various regulations impacting the products and procedures of assigned product and/or functional area.

Assists in development of policies and procedures and supports collaboration with our business partners to implement them.

* Clearly communicates policy changes and updates impacting compliance and responds to inquiries.

* Manages internal manuals, documentation files, and other related regulatory records to ensure that our records and resources are up-to-date and remain accurate.

* Assists in the development of various reports and metrics.

* Performs testing on business unit procedures to ensure compliance.

* Collaborates with business unit to assist in developing corrective actions for identified compliance issues.

* Stays up to date on compliance and regulatory industry updates and trends by attending professional seminars and continued education programs.

* May host, assist with hosting or support compliance training or presentations for our business partners.

* Identifies innovation and continuous improvement opportunities.

Follows through to develop the ideas in collaboration with business partners and other Compliance staff.

* May participate in regulatory exams, investigations, subpoenas, etc.

May perform other responsibilities as assigned.

Reporting Relationships: Reports to a Manager, Technical Director, Director, or Associate Vice President Typical Skills and Experiences: Education: Undergraduate studies in business administration, insurance, business ethics, criminal justice, computer science, finance or pre-law is preferred.

License/Certification/Designation: You may be required to acquire professional licenses/registrations within a designated time period.

Experience: Typically, three or more years of related work experience in financial services, insurance, compliance or a related subject area.

Knowledge, Abilities and Skills: Able to build and cultivate relationships.

Demonstrates strong communication skills.

Ability to set priorities, organize work, and meet timelines.

Creative, innovative, analytical thinking and proven problem-solving skills.

Strong research and documentation development skills.

Insurance, and/or financial services knowledge is preferred.

Data analytics experience is a plus.

Other criteria, including leadership skills, competencies and experiences may take precedence.

Staffing exceptions to the above must be approved by the Director and HR Business Partner.

Values: Regularly and consistently demonstrates the Nationwide Values.

Job Conditions: Overtime Eligibility: Exempt (Not eligible) Working Conditions: Normal office environment.

Nonstandard work hours may be required due to pending compliance issues and project work.

ADA: The above statements cover what are generally believed to be principal and essential functions of this job.

Specific circumstances may allow or require some people assigned to the job to perform a somewhat different combination of duties.

Benefits We have an array of benefits to fit your needs, including: medical/dental/vision, life insurance, short and long term disability coverage, paid time off with newly hired associates receiving a minimum of 18 days paid time off each full calendar year pro-rated quarterly based on hire date, nine paid holidays, 8 hours of Lifetime paid time off, 8 hours of Unity Day paid time off, 401(k) with company match, company-paid pension plan, business casual attire, and more.

To learn more about the benefits we offer, click here.

Nationwide is an equal opportunity employer.

We celebrate diversity and are committed to creating an inclusive culture where everyone feels challenged, appreciated, respected and engaged.

Nationwide prohibits discrimination and harassment and affords equal employment opportunities to employees and applicants without regard to any characteristic (or classification) protected by applicable law.

NOTE TO EMPLOYMENT AGENCIES: We value the partnerships we have built with our preferred vendors.

Nationwide does not accept unsolicited resumes from employment agencies.

All resumes submitted by employment agencies directly to any Nationwide employee or hiring manager in any form without a signed Nationwide Client Services Agreement on file and search engagement for that position will be deemed unsolicited in nature.

No fee will be paid in the event the candidate is subsequently hired as a result of the referral or through other means.