Compliance Manager

16 hours ago

East Hills, United States Blue Ocean Wealth Solutions Full time

Branch Compliance Manager - Compliance Department

Blue Ocean Wealth Solutions, LLC East Hills, NY


Blue Ocean Wealth Solutions, LLC helps people accomplish their most important financial goals by implementing a customer-centric approach using Insurance, Investment, Retirement and Employee Benefits. Home to a top-notch team of diverse Financial Professionals, Blue Ocean Wealth Solutions, LLC, is motivated by a mission to change people’s lives. We have a family-orientated environment, and it enables our team members and clients alike to thrive.

The Branch Compliance Manager is responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the Broker Dealer, Investment Advisory Services as well as the Insurance Agency and to enforce the firms Compliance policies and procedures. This person will work closely with Financial Advisors and Leadership Team.


Activities performed by the Compliance Manger include, but are not limited to the following:

Conduct Branch Inspections of Registered Offices and Other Detached Locations

Conduct Personal Interviews with advisors and registered staff

Respond to Questions from Producers, Agency Management and Associates Regarding Compliance Issues and Company Policies

Assist Regulators During Examinations and Report the Status of Such Examination to Home Office Compliance Personnel

Conduct reviews to ensure Reg BI Compliance

Review Exception Reports to ensure Broker Dealer and IAR compliance

Review and approve/decline requests by Registered Representatives to Invest in Private Securities Transactions and Outside Business Activities

Conduct email and social media reviews

Partner with agency management to maintain corrective action plans

Review outgoing/incoming correspondence for compliance

Ensure client files are compliant with FINRA and SEC Rules

Take control of the Implementation for Firm Element Cont. Education Program

Present at the Annual Compliance Meeting and document Advisor Training

Conduct 3rd Party verification Phone Calls for checks and wires

Supports the Operations division in a Supervisory Capacity

Promptly notify and advise the Home Office Compliance team of any potential or threatened Customer Complaints, Demands and Legal Actions received by Producers or Associates


Qualifications Needed:

Series 7 is Mandatory and Life & Health license and Series 24 preferred

BA/ BS- Accounting & Finance Preferred

Minimum 1-3 years’ experience in a compliance role or as a Financial Advisor

Thorough understanding of compliance requirements, suitability, and security transactions for the financial services industry We are willing to train.

Competencies: computer skills, analytical, uses sound business judgment, interpersonal skills and superior attention to detail. Displays professionalism, confidentiality, and problem-solving skills.


Full time in office position with a salary range of 65K to 98k depending on experience

Medical, Dental, Vision, 401k, Generous Paid time off

Website: www.blueocean.us.com


We are an Equal Opportunity Employer.

We provide equal employment opportunities (*EEO) to all employees and applicants for employment without regard to race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, disability, genetic information, marital status, citizenship status, ancestry, status as a protected veteran, or any other protected classes in accordance with applicable federal, state and local law.

*EEO applies to all terms and conditions of employment, including, hiring, placement, promotion, discipline, termination, leaves of absence, compensation and training.

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