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Compliance Associate

3 months ago

Irwin, United States Duncan Financial Group Full time

About Duncan Financial Group


Headquartered in Irwin, Pennsylvania – we help clients build and protect a better financial future. Our vision is to become the premier independent insurance and financial services organization that sets the standard for adding value to the lives of our clients, our employees, and our community stakeholders. At Duncan, we know that our greatest asset is our employees. We offer a new standard of insurance and financial guidance that is unmatched in the industry. Family-run for over 45 years, our diversified professionals get to know the needs of every client to deliver award-winning service for all their insurance, wealth management, and accounting needs. Built on a solid foundation, our relationships last for generations. Duncan Financial Group is quickly expanding both organically and through acquisition. With consistent and constant growth, we are continually seeking new talent to join us and continue to develop with us.


Duncan Advisor Resources is a leading financial services enterprise dedicated to providing top-notch support and resources to financial professionals across the United States. With a commitment to integrity and excellence, we empower our advisors to flourish in an ever-evolving industry and regulatory landscape. In partnership with Cambridge Investment Research, our goal is to empower independent financial professionals with a sophisticated set of tools, services, and capabilities that deepen client relationships and maximize efficiencies in their practices.


Compliance Associate


Job Summary:


We are looking for a Compliance Associate to join our organization. This person is responsible for providing first-line supervision to Registered Representatives (Supervised Persons). You will ensure that financial professionals under your supervision adhere to Written Supervisory Procedures (WSPs), relevant securities rules and regulations. Local and remote candidates are encouraged to apply.


Primary Responsibilities:


  • Act as a conduit of information between the home office and supervised persons to assist with problem solving.
  • Maintain ongoing positive relationships with supervised persons, act as a subject matter expert, guide and resource, providing education as needed.
  • Utilize your thorough understanding of WSPs, Anti-Money Laundering Compliance & Supervisory Procedures and Code of Ethics to insure supervised persons adherence with requirements set forth under these programs.
  • Day-to-day review and principal approval, or pre-approval, of new accounts, variable/equity, and alternative investments, outside business activities, post transaction review of clearing house blotter transactions and various other supervisory principal activities.
  • Maintain an in-depth understanding of each supervised person’s practice, staff and their branch.
  • Weekly review of supervised persons activity logs, client correspondence, etc.
  • Identification of individual or patterns of transaction or sales practice red flags and investigates, resolves, and documents findings and outcome.
  • Assist in drafting new policies and procedures.
  • Assist in implementing new policies and procedures.
  • Assist the President/COO and Associate Compliance Director in gathering information, documents, etc. and preparing responses to customer complaints.
  • Processing of financial plans through our RIA.
  • Flexibility to travel twice a year to branch and national conferences.
  • Oversee weekly rep calls.


Qualifications:


  • Bachelor’s degree or equivalent education and/or experience.
  • Requires Series 7, 66/65, and Series 24.
  • 3+ years of compliance and/or supervision experience.
  • 3+ years of experience with FINRA, the SEC regulations and practices. Extensive knowledge of broker dealer financial, compliance and supervisory operations.
  • 3+ years of customer service or relationship management experience in a fast-paced environment.
  • Advanced computer skills; MS Office Suite proficiency.
  • Any CRM experience highly desired (Duncan uses Redtail CRM).
  • Experience with eMoney Financial Planning application a plus.
  • Should be able to develop effectual relationships and operate with senior executives.
  • Ability to learn complex financial information, the company’s technology platforms & terminology at a fast pace, accurate with attention to details.
  • Ability to synthesize large amounts of information and communicate conclusions effectively.
  • Ability to organize, prioritize, and manage time with minimal supervision and guidance from management.


Hours: Monday- Friday, 8:30am-5:00pm


Office Location: 311 Main Street, Irwin, PA 15642 (Hybrid or Remote Work Options Available)


Duncan Financial Group offers a robust benefits package with the following:


  • Hybrid and remote work arrangements available
  • Competitive Salary
  • Three United Healthcare Medical plans to choose from
  • United Healthcare Dental plan- free for employees
  • United Healthcare Vision plan
  • Company paid Life Insurance with additional supplement life options for employees and their families
  • Short Term Disability
  • Company Paid Long Term Disability
  • 401(k) - Company Match (Safe Harbor)
  • Supplemental insurance including Critical Illness, Accident, Prepaid Legal
  • PTO with prior employer matching
  • Paid Holidays
  • Financial support of continuing education and additional development and certifications
  • Bonus program for suggested certifications
  • Social and Philanthropic opportunities


No Solicitation Notification to Agencies: Please note that Keystone Agency Partners and our Partner Agencies do not accept unsolicited resumes or calls from third-party recruiters or employment agencies. In the absence of a signed Master Service Agreement and approval from HR to submit resumes for a specific requisition, Keystone Agency Partners will not consider or approve payment to any third parties for hires made.