Senior Analyst, Sponsor Compliance
Core
Review, evaluate, and approve sponsor reimbursement submissions from OSJs and financial advisors to ensure compliance with regulatory requirements and firm policies.
Role type
Senior Analyst, Sponsor Compliance
Builds
Approved reimbursement payments and compliant advisor support materials
Domain
Financial services / Wealth management / Regulatory compliance
Deliverable
client delivery
Required skills
Regulatory compliance analysis, policy interpretation, reimbursement processing, stakeholder coordination, procedural documentation, training delivery, trend analysis
Preferred skills
Advanced Excel and PowerPoint, SharePoint proficiency
Responsibilities
Review sponsor reimbursement documentation for policy compliance; Process approved reimbursements through commission systems; Provide consultative support to OSJs, advisors, and sponsors; Create and manage advisor support materials and training resources; Drive updates to compliance policies and procedures; Track operational performance metrics and provide trend analysis reports