Job Description:

Our client, a leading financial firm, is seeking a junior to mid-level Compliance Officer to provide real-time advice and support to front office personnel in a fast paced, high-pressure environment.  The Compliance Officer will be responsible for covering the sales and marketing efforts of Delaware Statutory Trusts (DSTs), direct participation programs (DPPs), private placements, real estate investment trusts (REITs), and other alternative investments to a predominantly retail customer base.

Specific Functions:

  • Act as point person for the Compliance department in any new business committee or due diligence meetings relating to a primary issuance of securities.
  • Conduct due diligence on potential broker-dealer selling group members.
  • Conduct regular training of wholesalers.
  • Create and review exception reports on a daily basis.
  • Regularly update written supervisory procedures.
  • Conduct electronic communications surveillance on a regular basis.
  • Assist in responding to regulatory inquiries.
  • Perform nationwide on-site branch office inspections.
  • Perform all required regulatory filings (e.g. FINRA Rule 5123 Filing).

Candidate Requirements:

  • 2-5 years of experience working in a retail compliance capacity of a broker dealer.
  • Experience with the compliance framework relating to DSTs, DPPs, private placements, and REITs.
  • Knowledge of SEC, FINRA, and state regulations and laws relevant to the sale of such products to retail customers, including regulatory framework around marketing and sales efforts.
  • Familiarity with relationship by and between the Sponsor, Managing Broker-Dealers, Sub-Managing Broker-Dealers, and Soliciting Broker-Dealers.
  • Working knowledge of major regulatory topics relevant to the space, including but not limited to communications with the public, client gifts and entertainment, markups and markdowns, suitability.
  • Bachelors degree, FINRA Series 7 Required (Series 24 a plus).  Advanced degree a plus.

*The Firm is willing to consider individuals with retail-related experience in other areas of the financial services industry who are seeking to begin a career in regulatory compliance.


Please email resumes to Jack Kelly – JKelly@ComplianceSearch.com

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