The Compliance Officer is an experienced, motivated and talented Compliance Officer with broad knowledge of securities and advisory regulation. In particular, we are looking for someone who will report directly to the Chief Compliance Officer (CCO) and play a senior role in the firm’s compliance department.
As a Firm Principal perform primary supervision and activity surveillance for assigned branch offices.
Perform required supervisory functions such as advertising review, transaction monitoring, suitability review, disciplinary issues utilizing the firms compliance vendors such as ACA, NRS, Riskalyze and Global Relay.
Perform branch examinations.
Evaluate current and proposed business activities to assess compliance risk.
Serve as primary regulatory contact for assigned branches and registered reps.
Firm and representative level regulatory review of marketing material .
Investigate and remediate potential violations of compliance program elements.
Responding to regulatory inquiries from the SEC, FINRA, and state regulators.
Researching, interpreting and advising the firm regarding compliance with laws, regulations and guidance applicable to broker-dealers and registered investment advisors.
Develop, maintain, and update the Firm’s compliance policies and procedures.
Conduct employee training with respect to the compliance program.
Utilize compliance supervisory compliance programs and platforms.
Special projects as necessary.
May direct the work of other compliance department personnel.
May be responsible for training department personnel in cross functional tasks.
Bachelor’s degree in related field preferred.
5 years + Broker/Dealer Supervisory experience
Insurance Experience desirable
Excellent verbal and written communication skills.
Excellent interpersonal and customer service skills.
Proficient in Microsoft Office Suite or related software.
Excellent organizational skills and attention to detail.
Strong understanding of the Broker Dealer and Investment Adviser industry, as well as a thorough knowledge of relevant SEC, FINRA, SEC and State securities laws .
Ability to analyze situations for compliance and business risk, and implement solutions to address and mitigate such risk.
Ability to work independently and multi-task
Ability to communicate with highest level of management internally and externally