Our client an accomplished boutique financial services firm focused wealth management, alternative investments and business advisory services is seeking a Compliance Officer.


The Compliance Officer will be responsible for the day to day management of the firm’s compliance program. This responsibility includes the monitoring of the firm’s sales functions while also routinely reviewing, testing, and updating the firm’s compliance policies & procedures so as to help avoid the risk associated with violations of securities regulations and laws.

Key Tasks & Responsibilities:

  • Daily review of trading and asset movement activities, Brokerage account-opening documents, and Investment Advisory contracts and activities.
  • Assist in monitoring the firm’s compliance with its AML obligations in reviewing new account applications and accompanying identification information, monitoring for suspicious activities, and responding to FinCEN requests as needed.
  • Review and approval of all hard copy and electronic retail communications, correspondence, and educational material under the supervision of the CCO.
  • Management of the firm’s compliance software and recordkeeping system – Schwab Compliance Technologies. Modules include case management, certifications, periodic questionnaires, personal trading monitoring, outside business activity monitoring, and gifts and political contribution disclosures, amongst others.
  • Assist the CCO in investigating, tracking and responding to customer complaints as needed, including any potential reporting to regulatory bodies.
  • Assist the CCO in the maintenance and development of Investment Adviser and Broker/Dealer Written Supervisory Policies and Procedures. Tasks include annual testing, review, and the updating of written policies and procedures as needed.
  • Provide regular compliance briefs on upcoming rules, changes, and industry practices to the CCO. Research new or revised rules and regulations to determine potential impact on the firm’s business and its processes, written procedures, and surveillance reports.
  • Under the guidance of the CCO, develop annual Continuing Education Training Plan which includes the monitoring and administering of the firm element, regulatory element, and annual compliance meeting modules for the company.
  • Assist with annual errors and omissions and fidelity bond insurance proposals.
  • Assist the CCO in the coordination of and responses related to SEC, FINRA, or other regulatory body inquiries and examinations.
  • Perform other Compliance-related responsibilities and special projects as needed.

Minimum Requirements:

Education: Four-year Baccalaureate degree

Industry Experience: 3-5 years’ with some previous compliance responsibilities

Licensing: FINRA Series 7, 66 (or 63 & 65). Series 24 and/or 99 preferred


  • General understanding of SEC, FINRA & State Securities Rules and Regulations.
  • Strong analytical skills and the ability to adapt to changes.
  • Strong understanding of the expectations for an effective compliance program.
  • Regulatory and Branch Supervision experience.
  • Must be comfortable with trading & compliance technology platform.


Send Resume to Heather Johnson: Heather@compliancesearch.com

and call 347-779-8193

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