Position Description
Analyst II
Communications Review
Position Overview:
The primary responsibility of this position is to review and approve communications
submitted by Company Representatives to ensure compliance with regulatory and SAI
requirements. Additional duties include responding to compliance questions and
regulatory inquires from Representatives’ offices and SAI employees.
Position Requirements:
 Bachelor’s degree in Finance or other business related field or equivalent work
experience
 Series 7 and 24 licenses required
 Ability to earn Series 66 within 3 months of hire Ability to earn Series 4 and
Series 53 preferred
 1 year previous writing, reviewing, and/or proofreading experience preferred
 2-3 years previous financial services industry experience preferred
 Ability to collect and analyze complex data and evaluate information and systems
and draw logical conclusions to determine regulatory compliance
 Ability to effectively communicate in person, via telephone, and/or by email with
customers, co-workers, and various business contacts in a courteous and
professional manner
 Ability to effectively function as a team player
 Ability to identify, investigate and research various compliance situations and
present findings and recommendations to management
 Ability to maintain confidentiality
 Ability to organize, prioritize, and handle multiple tasks in pressure situations in
order to meet deadlines
 Ability to resolve problems and make rule-based decisions
 Ability to be at work on a regular and predictable basis
 Knowledge of SAI, SAA, SEC & FINRA compliance rules and regulations
 Skill in operating various office equipment and utilizing various software
packages (database and project management)
Position Duties/Tasks:
This position is responsible for, but not limited to the following:
Revised 5/13/09
Analyst II Communications Review
1. Review and approve communications submitted by Company Representatives in
assigned territory
2. Respond to compliance questions from Representatives’ offices and SAI employees
3. Respond to regulatory inquiries
4. Monitor representative communication activity to ensure compliance with regulatory
and SAI requirements
5. Perform various other related duties as assigned
FLSA: Exempt
Physical Requirements:
PHYSICAL REQUIREMENTS
Seeing:
Must be able to read
reports and use computer.
Hearing:
Must be able to hear
well enough to communicate
with co-workers and customers
Standing/Walking:
Climbing/Stooping/Kneeling:
Lifting/Pulling/Pushing:
Hand Dexterity:
Must be able to write, type,
and use phone system.
0-24%
25-49%
50-74%
75-100%
X
X
X
X
X
X
Note: The statements herein are intended to describe the general nature and level of work
being performed by employees, and are not to be construed as an exhaustive list of
responsibilities, duties and skills required of personnel so classified. Furthermore, they
do not establish a contract for employment and are subject to change at the discretion of
the employer.
Revised 5/13/09
Analyst II Communications Review