Compliance Analyst - Securities Entities

Under the direction of the Chief Compliance Officer or delegate, manages, supports and provides oversight and monitoring of internal controls, compliance, and operational functions for the Securities Entities of Western & Southern Financial Group. May also assist senior staff in preparing regulatory filings, responding to regulatory inquires and customer complaints. The primary focus of this position is to ensure quality assurance processes are managed and regulatory risks are sufficiently mitigated in a timely manner. Manages multiple deadlines and is responsible to make an established range of decisions, escalating to Manager when necessary. Works in an autonomous fashion with limited daily supervision.