General information Career area Compliance Work Location(s) 601 S. Tryon Street, NC City Charlotte, NC Remote? No Ref # 21519 Posted Date 01-15-26 Working time Full time Ally and Your Career Ally Financial only succeeds when its people do - and that’s more than some cliché people put on job postings. We live this stuff! We see our people as, well, people - with interests, families, friends, dreams, and causes that are all important to them. Our focus is on the health and safety of our teammates as well as work-life balance and diversity and inclusion. From generous benefits to a variety of employee resource groups, we strive to build paths that encourage employees to stretch themselves professionally. We want to help you grow, develop, and learn new things. You’re constantly evolving, so shouldn’t your opportunities be, too?
Work Schedule: Ally designates roles as (1) fully on-site, (2) hybrid, or (3) fully remote. Hybrid roles are generally expected to be in the office a certain number of days per week as indicated by your manager. Your hiring manager will discuss this role's specific work requirements with you during the hiring process. All work requirements are subject to change at any time based on leader discretion and/or business need. The Opportunity Do you enjoy tackling new challenges every day? If you enjoy a fast-paced environment and working in a close-knit team, then this is the right opportunity for you! The Invest Compliance Analyst II is an integral part of the Ally Invest business line compliance team. As part of this team, the candidate will proactively identify pain points and gaps in existing policy and procedure frameworks and work with business teams to identify solutions. The Invest Compliance Analyst II will also help develop compliance oversight metrics and guardrails to measure compliance program quality within the organization. 
At this time, Ally will not sponsor a new applicant for employment authorization for this position. The Work Itself 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.  The Skills You Bring Associates or Bachelor's degree strongly preferred.1+ years in compliance or security industry related experience.FINRA Series 7 is required.FINRA Series 24 is preferred (must be willing to sit for license if not already acquired).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.Optimistic, embraces possibilities, encouraging and motivating, recognizes change as crafting opportunities.Exhibit a strong work ethic and high degree of self-motivation. How We'll Have Your Back

Ally's compensation program offers market-competitive base pay and pay-for-performance incentives (bonuses) based on achieving personal and company goals. Our Total Rewards program includes industry-leading compensation and benefits plus additional incentives that are designed to meet your needs and those of your family so you can get the most out of your career and your life, including:

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.To view more detailed information about Ally’s Total Rewards, please visit this link: https://www.ally.com/content/dam/pdf/corporate/ally-total-rewards-snapshot.pdf 

Who We Are:

 

Ally Financial is a customer-centric, leading digital financial services company with passionate customer service and innovative financial solutions. We are relentlessly focused on "Doing it Right" and being a trusted financial-services provider to our consumer, commercial, and corporate customers. For more information, visit www.ally.com.

 

Ally is an equal opportunity employer committed to diversity and inclusion in the workplace. All qualified applicants will receive consideration for employment without regard to age, race, color, sex, religion, national origin, disability, sexual orientation, gender identity or expression, pregnancy status, marital status, military or veteran status, genetic disposition or any other reason protected by law.

 

We are committed to working with and providing reasonable accommodation to applicants with physical or mental disabilities. For accommodation requests, email us at hrpolicy@ally.com. Ally will not discriminate against any qualified individual who is capable of performing the essential functions of the job with or without reasonable accommodation.

Base Pay Range: $55000 - $95000 USDAn individual's position in the range is determined by the specific role, the scope and responsibilities of the role, work experience, education, certification(s), training, and additional qualifications. We review internal pay, the competitive market, and business environment prior to extending an offer.  Incentive Compensation: This position is eligible to participate in our annual incentive plan.