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Compliance Officer
2 months ago
South Florida based Broker-Dealer and Registered Investment Advisor is seeking a seasoned, experienced Compliance Officer with “specific” experience in the Investment Advisory area. The Compliance Officer will assist the Chief Compliance Officer (CCO) in developing, implementing, and overseeing compliance programs for broker/dealer and investment advisor activities.
Responsibilities and Duties
Assist the CCO in developing compliance policies and procedures to ensure that broker/dealer and investment advisor activities comply with relevant SEC, FINRA, MSRB and state rules and regulations.
- Regularly identify changes in applicable rules and regulations that impact the Firm's compliance program.
- Conduct periodic risk assessments and test the effectiveness of compliance policies, controls and written supervisory procedures.
- Respond to requests from branches on various supervision and surveillance related issues.
- Branch Audit Reviews.
- Active Account Monitoring of Investment Advisory Accounts.
- Assist with advertising review and approval.
- Assist the oversight of the firm’s compliance supervisors and OSJ’s.
- Help drive overall supervisory program and help ensure that activities satisfy all pertinent legal, regulatory and Firm requirements.
Qualifications and Skills
- Thorough knowledge of SEC, FINRA, MSRB, Investment Advisers Act and Investment Company Act rules required.
- Experience in insurance products supervision.
- Anti-Money Laundering background a plus.
- Series 7, 24 and 66 are required. Series 4 and 53 a plus.
- 5 years or more previous experience with registered broker/dealer, registered investment advisor, SEC and/or FINRA preferred.
Benefits:
- Medical
- Dental
- Vision
- 401(k)
- Life insurance
- Short Term Disability
- Long Term Disability
- Paid Time Off
Job Type: Full-time
Physical setting:
- Office
Work Location: In person
