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Ally Sr Analyst – BL Reg Controls in Charlotte, North Carolina

Position Description The Senior Compliance Analyst is an integral part of the compliance team that manages matters pertaining to the regulated entities of Ally Invest. Responsibilities include performing processes and functions related to Regulatory Matters, ensuring all existing controls are maintained and implementing additional controls, as needed, to further enhance the compliance programs. As part of this team, the candidate will proactively identify pain points and gaps in existing policy and procedure frameworks and work with business teams to identify and implement optimal solutions. The Compliance Analyst III will also further develop compliance oversight metrics and guardrails to measure compliance program quality within the organization. This role requires excellent skills in compliance oversight, communications, attention to detail and organization skills with the ability to work in a fast paced, multi-tasked, high pressure, securities market environment. The ideal candidate will have 3-4 years' experience in the Financial services Industry preferably in online brokerage and will hold active FINRA Series 4, 7 and 24 licenses. Job Responsibilities * Knowledge of the rules and requirements applicable to FINRA, SEC, etc. * Apply knowledge of company policies and standard practices to resolve problems. * Assist with regulatory inquiries related to books and records that are received through FINRA, SEC, BBB, CFPB, and through the course of normally conducted business. * Analyze and provide comprehensive plans to effectively streamline current processes. * Partner with internal risk team to mitigate identified risks associated with books and records and regulatory matters. * Manage policy and procedural documentation, including updates and revisions, within scheduled timelines. * Drive continual iterative progress to create efficiencies within tools this position utilizes to perform their responsibilities. * Prepare and complete forms for regulatory requirements as needed, including accurate and sufficient narratives. * Provide relevant and comprehensive information related to books and records regulations for Firm Continuing Education Plan and Annual Compliance Meetings. * Perform important compliance tasks and deals with regulatory matters typically involving documentation, reporting, issue and incident management etc. * Ensure inventory of controls is maintained on schedule and manages the capture and documentation of any new controls. * Analyze issues and uses educated judgment to make optimal decisions and appropriately escalate non-standard problems or issues in a timely manner. * Provide backup supervisory review of retail communications, onboarding and offboarding, managing risk assessments, and analysis of regulatory and enterprise related matters. * Assist with Risk Control Assessments and Audits. * Other duties as assigned or required. Qualifications * Education level: Bachelor's Degree or higher * Total years and type of prior related experience: 3-5 years minimum in a compliance, legal or financial services role * FINRA Series 7 and 24 required * If candidate does not have a Series 4, they will be required to obtain it within 90 days * Ability to work autonomously and escalate critical issues * Excellent oral and written communication skills * Able to prioritize and meet deadlines in a fast-pace environment * Proactive mindset in problem identification and resolution * Independent, self-motivated, strong attention to detail * Understand, comply with, maintain, and reinforce regulatory and firm policies and procedures/guidelines * Proactive, "can-do" mindset in problem identification and resolution * Stellar problem-solving skills and self-motivation * Flexible, dependable, results-oriented team player * Organized, pays attention to detail, thorough and persistent * Previous experience working for financial regulator (i.e. FINRA, SEC) a plus * Proficient in MS Office, Salesforce, and other compliance-related tools Ally Overview Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S. financial holding company offering financial products for consumers, businesses, automotive dealers and corporate clients. Ally's legacy dates back to 1919, and the company was redesigned in 2009 with a distinctive brand, innovative approach and relentless focus on its customers. Ally has an award-winning online bank (member FDIC), one of the largest full service auto finance operations in the country, a complementary auto-focused insurance business, a growing digital wealth management and online brokerage platform, and a trusted corporate finance business offering capital for equity sponsors and middle-market companies. Business Unit/Enterprise Function Compliance and Regulatory Affairs is responsible for driving compliance with laws, regulations and company policies set forth by federal regulators and stakeholders. Total Rewards Information Ally's compensation program offers market-competitive base pay and bonus pay potential based on achieving personal and company goals. Plus, we have a flexible paid time-off program with an emphasis on work-life balance. Ally offers a variety of benefits to protect your health and well-being, provide financial security and balance your work-life needs including: * Industry-leading 401K Retirement Savings Plan including Matching and Company Contributions * Comprehensive wellness program with financial incentives designed to help you achieve your best health * Flexible health insurance options including dental and vision * Pre-tax Health Savings Account with generous employer contributions * Pre-tax dependent care and commuter benefits * Other work-life integration benefits including Paid Parental & Caregiver Leave, Adoption Assistance, Back-up Child & Adult/Elder Care, Child Care Discounts, Tuition Reimbursement, LifeMatters Employee Assistance Program, Weight Watchers and other employee discount programs Ally is an Equal Opportunity Employer We extend equal employment opportunities to qualified applicants and employees on an equal basis regardless of an individual's 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. 3F Equal Opportunity Employer Minorities/Women/Protected Veterans/Disabled