Ally · 5 days ago
Analyst II - Ally Invest Compliance
Charlotte, NC
Full-time
Onsite
Entry Level
$55K/yr - $95K/yr
1+ years expAlly Financial is a leading digital financial services company focused on customer-centric solutions. The Invest Compliance Analyst II will proactively identify compliance gaps, develop oversight metrics, and assist with regulatory inquiries as part of the compliance team.
AutomotiveFinanceFinancial Services
No H1B
Responsibilities
Prepares and completes forms for regulatory requirements as needed, including drafting accurate and sufficient narratives
Process inquiries received through FINRA, SEC, BBB, CFPB, and through the course of normally conducted business
Help administer and document Firm Continuing Education Plan including assisting with preparation for Annual Compliance Meetings
Conduct continuous monitoring reviews including but not limited to performing analyses and providing credible challenge on firm processes based on regulatory guidance. Assist with background review, onboarding and offboarding of associated persons, including the timely filing of regulatory forms
Perform important compliance tasks and deals with matters typically involving documentation, reporting, issue and incident management, etc
Ensure inventory of controls is maintained and any new controls are captured and documented
Assist in interpreting and administering operational policies and procedures
Coordinate the involvement of Ally stakeholders as necessary
Develop, validate and maintain step-by-step department instructions/training materials
Miscellaneous duties as assigned
Qualification
Required
Associates or Bachelor's degree strongly preferred
1+ years in compliance or security industry related experience
FINRA Series 7 is required
Excellent oral and written communication skills
Capable of prioritizing tasks and meeting deadlines in a fast-paced setting
Proactive attitude in problem identification and solution
Proficiency in Microsoft Word and Excel
Exhibit a strong work ethic and high degree of self-motivation
Preferred
FINRA Series 24 is preferred (must be willing to sit for license if not already acquired)
Benefits
Time Away: Program starts at 20 paid time off days in addition to 11 paid holidays and 8 hours of volunteer time off yearly (time off days are prorated based on start date and program varies based on full or part-time status and management level).
Planning for the Future: plan for the near and long term with an industry-leading 401K retirement savings plan with matching and company contributions, student loan pay downs and 529 educational save up assistance programs, tuition reimbursement, employee stock purchase plan, and financial learning center and financial coach access.
Supporting your Health & Well-being: flexible health and insurance options including medical, dental and vision, employee, spouse and child life insurance, short- and long-term disability, pre-tax Health Savings Account with employer contributions, Healthcare FSA, critical illness, accident & hospital indemnity insurance, and a total well-being program that helps you and your family stay on track physically, socially, emotionally, and financially.
Building a Family: adoption, surrogacy and fertility assistance as well as paid parental and caregiver leave, Dependent Day Care FSA back-up child and adult/elder care days and childcare discounts.
Work-Life Integration: other benefits including Mentally Fit Employee Assistance Program, subsidized and discounted Weight Watchers® program and other employee discount programs.
Other compensations: depending on the role for which you are considered, you may be eligible for travel allowances, relocation assistance, a signing bonus and/or equity.
Company
Ally
Ally Financial Inc. (NYSE: ALLY) is a leading digital financial services company and a top 25 U.S.
10001+ employees
Funding
Current Stage
Public CompanyTotal Funding
$1.75B2024-12-13Post Ipo Debt· $1B
2022-11-07Post Ipo Debt· $750M
2014-04-10IPO
Leadership Team
Russ Hutchinson
Chief Financial Officer
David Holland
Senior Vice President
Recent News
2026-01-13
2025-12-29
MarketScreener
2025-12-10
Company data provided by crunchbase