Are you passionate about being part of a team that delivers extraordinary care to help individuals and businesses prepare for and protect their retirement? If so, then Nationwide Financial 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 role will be a hybrid position based out of our Columbus, OH office. The team comes into the office Tuesdays, Wednesdays and Thursdays.

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Compensation Grade: E2

Job Description Summary

Success on our team is directly related to embracing change, providing exceptional customer service, and having a passion for getting things done right. We work together to build our business and grow profitably, with unwavering attention to detail. If you are naturally curious, want to grow and learn and develop your expertise in financial services, we want to know more about you!

As a Sr Analyst, you’ll provide technical and administrative support to Nationwide Securities, LLC (NSLLC) supervision team and work closely with our Compliance partners.

Job Description

Key Responsibilities:

• Screens email and conducts initial review of email content using sound judgment, identifies potential compliance issues for escalation to supervision for additional review and follow-up.

• Analyzes and monitors information for adherence with trading and sales related regulatory rules with an emphasis on Know Your Customer (KYC) and client suitability/best interest.

• Assists across NSLLC in supporting timely and accurate submission of advertising and sales materials into the electronic URBO (Ultimate Repository Based Online) system when needed; creates the appropriate URBO tickets for Communications Compliance to review.

• Utilizes Microsoft Office suite including Teams, Global Relay, and business tools.

• Manages and maintains form updates and new form development, which includes collaboration with the NF(Nationwide Financial) Forms Process Management team and NSLLC leadership.

• Develops and provides recommendations on possible process, tool and control improvements to increase the quality and optimization of business services and resources.

• Interacts with NSLLC Leadership, Compliance and Legal. Exercises independent judgment and knowledge within department/business unit.

• Manages updates on our NSLLC public website, working with the digital marketing team.

• Assists supervision with tracking Form CRS delivery in the automated Reg BI solution to fulfill regulatory requirements.

• Ensures registered representatives and financial advisors are following policies, procedures, rules and regulations.

• May provide back-up to suitability principals with case reviews, assuming all registration and licensing requirements are met.

• Resolves issues with business units and initiates leadership feedback on resolution options.

• May review work product of other associates and provide coaching, feedback, and training assistance for less experienced associates.

• Designs, develops, customizes, documents, deploys, maintains, and updates business and system processes and procedures.

• Maintains the integrity of highly confidential material

May perform other responsibilities as assigned.

Reporting Relationships: Reports to Director of Brokerage Supervision. This is an individual contributor role.

Typical Skills and Experiences:

Education: High school diploma or equivalent. Undergraduate studies in business or finance preferred.

Experience: Typically, five years or more of related work experience. Prior broker-dealer compliance and/or supervision experience in sales organization preferred, not required.

License/Certification/Designation: FINRA Series 6 or 7, 24 or 26, 63 preferred.

Knowledge, Abilities and Skills: Strong relationship building and collaboration skills with leaders. Strong verbal and written communications skills used for interaction with all levels of associates and/or external sources. Ability to communicate professionally with sales and distribution management and personnel, as well as business liaison with the Nationwide Office of Legal and Compliance. Understands and applies company policies, laws, broker/dealer industry rules of regulators such as FINRA and the Securities Exchange Commission (SEC). Must consistently exercise sound judgment in an independent environment. Ability to operate a personal computer and business software. Organizational skills and attention to detail.

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

Staffing exceptions to the above must be approved by the hiring manager’s leader and Human Resources Business Partner.

Values: Regularly and consistently demonstrates Nationwide Values.​

Job Conditions:

Overtime Eligibility: Not Eligible (Exempt).

Working Conditions: Normal office environment or hybrid working arrangements. Non-standard or extended work may be required based on project needs.

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.