Compliance Specialist

4 weeks ago

San Diego, United States Pure Financial Advisors, LLC Full time

Pure Financial Advisors, LLC is looking for a Compliance Specialist to join the Compliance department. This position will work independently, as well as collaboratively, reporting to the Chief Compliance Officer (CCO) and working closely with the Senior Compliance Specialist.


This primary responsibility is to assist with developing and monitoring of the firm’s compliance program, which includes ensuring that the department responds timely to the changing needs in accordance with changes in laws and/or policies. This position will also be relied upon to help identify opportunities to increase efficiencies and implement changes or policies, as needed.


Responsibilities:

  • Ensure that Form U4 (Uniform Application for Securities Industry Registration or Transfer) registration filings are completed and updated.
  • Initiate and complete custodian access and rep code set up.
  • Monitor and track designation renewals for Advisors.
  • Oversee compliance in regard to personal trading, gifts & entertainment, etc.
  • Conduct periodic audits of data and documents to ensure key information is retained.
  • Execute compliance program testing of policies and procedures.
  • Review and/or audit marketing materials and presentations.
  • Assist with information security and privacy-related initiatives.
  • Perform additional duties as assigned, along with various ad hoc projects.


Qualifications:

  • Bachelor’s degree in business, finance or similar field required. Additional certifications and/or education a plus.
  • Previous experience in financial compliance required.
  • Strong attention-to-detail and organizational skills.
  • Ability to stay abreast of current best practices and emerging compliance regulations.
  • Must be able to multitask and prioritize fluctuating workloads. Capable of managing time and handling multiple demands and competing priorities
  • Ability to work independently, take initiative (self-direct work) and exercise judgment to formulate and implement.
  • Excellent verbal and written communication skills. Must be able to provide clear, and concise communications and manage internal and external messages.
  • Proficient in Microsoft Word, Excel, and Outlook.


Benefit Package:

Our benefit package includes health (medical, dental, and vision insurance), FSA and/or HSA plans, group and voluntary life/accidental death & dismemberment (AD&D) insurance, long-term disability insurance (LTD), a 401(k) plan with an enhanced employer match, including pre-tax, Roth and after-tax contributions, as well as a generous paid time off policy.

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