Overview

A rapidly-growing broker/dealer seeks a Compliance professional.

The firm has an immediate opening for a Senior Compliance Supervisor who can “hit the ground running”. The successful candidate should be self-motivated, hard-working, and have a strong desire to be an integral part of a winning team.

THE POSITION

The Compliance Officer will assist in educating, encouraging and enforcing the firm’s Culture of Compliance. The ideal candidate will have a desire to develop a thorough understanding of SEC, FINRA and other industry rules, as well as internal policies and procedures and to help their registered representatives do the same. This position reports to the Chief Compliance Officer.

The core duties include:

  • Daily reviews of representative trading activity.
  • Reviews of advertising and correspondence to ensure consistency with industry rules and company policy.
  • Review and take appropriate action on compliance exception reports and obtain documentation as necessary. Update policies and procedures as necessary to ensure consistent reviews of exceptions found.
  • Assist outside counsel, CCO and executive team with all phases of cases, including discovery document production, account analysis, and arbitration preparation.
  • Work with all departments to produce and organize documentation for regulatory examinations.
  • Assist in gathering and reviewing documents for branch audits
  • Occasional travel to branch offices and audit books and records, business practices, and to provide training to independent financial advisors.

THE CANDIDATE

The position requires strong organizational and time management skills, as well as the ability to handle numerous projects and deliverables. Other requirements include:

  • FINRA Series 7 and 24
  • Exceptional customer service skills and a willingness to provide high quality service
  • Ability to multi-task in a fast-paced environment
  • Acute attention to detail skills and ability to produce error-free work
  • Excellent verbal and written communication skills

Please send resumes to Jack Kelly at Jack@ComplianceSearch.com

 

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