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Compliance Officer
2 months ago
JOB DESCRIPTION
JOB TITLE: Compliance Officer
EMPLOYER: Signature Estate and Investment Advisors
DEPARTMENT: Compliance Department
REPORTS TO: Senior Director, Compliance
LOCATION: Cleveland, Los Angeles (Hybrid)
EFFECTIVE DATE: 8/1/2024
SUMMARY:
Primary responsibilities will be to identify and assess risk and compliance across all business lines: Registered Investment Advisor, Broker Dealer, and Insurance. The Compliance Officer will be responsible for monitoring of existing exception reports, management of risk monitoring programs, enhancing, and designing new programs to monitor and mitigate risk in an evolving business environment and conduct supervisory reviews within queues with regards to transaction, account, correspondence & client record reviews. The ideal candidate will have a strong understanding of investments.
DUTIES AND RESPONSIBILITIES:
Task will include but will not be limited to:
- Staying abreast of new and changing regulatory requirements, providing assessments on how they apply to our business and developing written policies and procedures to update the supervision manuals. Other related document creation.
- Enforce the Policies & Procedures and Written Supervisory Procedures across the business.
- Perform supervision within queues with regards to transaction, account, correspondence & client record reviews.
- Suitability reviews.
- Address and resolve inquiries regarding compliance issues from employees, clients and third parties.
- Conduct Marketing Reviews
- Manages multiple tasks simultaneously and ensures their completion to final resolution.
- Perform internal audits of processes and report on findings.
- Liaise with external auditors, regulators and legal counsel.
- Provide support for the CCO.
QUALIFICATIONS:
- Minimum of 3 years compliance experience in RIA, BD or Insurance space
- Required Series SIE, 7, 66 (or equivalent). Series 24, 4, 53 required within 6 months of hire
- Preferred: Insurance License
- Undergraduate Bachelor’s Degree
- Proficient with the Microsoft Office Suite, including strong Excel skills
- Strong analytical, problem-solving and organization skills
- Excellent verbal, written and interpersonal communication skills
- Able to communicate with professionals at all levels
- Able to work independently and take initiative
- Able to adapt to changing priorities
- Able to work on multiple projects with accuracy and efficiency, while keeping to deadlines
- Detail-oriented
- A team player
COMPETENCIES:
- Diversity - Demonstrates knowledge of EEO policy; Shows respect and sensitivity for cultural differences; Educates others on the value of diversity; Promotes a harassment-free environment; Builds a diverse workforce.
- Ethics - Treats people with respect; Keeps commitments; Inspires the trust of others; Works with integrity and ethically; Upholds organizational values.
- Adaptability - Adapts to changes in the work environment; Manages competing demands; Changes approach or method to best fit the situation; Able to deal with frequent change, delays, or unexpected events.
- Analytical - Synthesizes complex or diverse information; Collects and researches data; Uses intuition and experience to complement data; Designs work flows and procedures.
- Business Acumen - Understands business implications of decisions; Displays orientation to profitability; Demonstrates knowledge of market and competition; Aligns work with strategic goals.
- Change Management - Develops workable implementation plans; Communicates changes effectively; Builds commitment and overcomes resistance; Prepares and supports those affected by change; Monitors transition and evaluates results.
- Cost Consciousness - Works within approved budget; Develops and implements cost saving measures; Contributes to profits and revenue; Conserves organizational resources.
- Delegation - Delegates work assignments; Matches the responsibility to the person; Gives authority to work independently; Sets expectations and monitors delegated activities; Provides recognition for results.
- Design - Generates creative solutions; Translates concepts and information into images; Uses feedback to modify designs; Applies design principles; Demonstrates attention to detail.
- Initiative - Volunteers readily; Undertakes self-development activities; Seeks increased responsibilities; Takes independent actions and calculated risks; Looks for and takes advantage of opportunities; Asks for and offers help when needed.
- Innovation - Displays original thinking and creativity; Meets challenges with resourcefulness; Generates suggestions for improving work; Develops innovative approaches and ideas; Presents ideas and information in a manner that gets others' attention.
- Interpersonal Skills - Focuses on solving conflict, not blaming; Maintains confidentiality; Listens to others without interrupting; Keeps emotions under control; Remains open to others' ideas and tries new things.
- Judgement - Displays willingness to make decisions; Exhibits sound and accurate judgment; Supports and explains reasoning for decisions; Includes appropriate people in decision-making process; Makes timely decisions.
- Leadership - Exhibits confidence in self and others; Inspires and motivates others to perform well; Effectively influences actions and opinions of others; Accepts feedback from others; Gives appropriate recognition to others.
- Managing People - Includes staff in planning, decision-making, facilitating and process improvement; Takes responsibility for subordinates' activities; Makes self available to staff; Provides regular performance feedback; Develops subordinates' skills and encourages growth; Solicits and applies customer feedback (internal and external); Fosters quality focus in others; Improves processes, products and services.; Continually works to improve supervisory skills.
- Oral Communication - Speaks clearly and persuasively in positive or negative situations; Listens and gets clarification; Responds well to questions; Demonstrates group presentation skills; Participates in meetings.
- Organizational Support - Follows policies and procedures; Completes administrative tasks correctly and on time; Supports organization's goals and values; Benefits organization through outside activities; Supports affirmative action and respects diversity.
- Planning/Organizing - Prioritizes and plans work activities; Uses time efficiently; Plans for additional resources; Sets goals and objectives; Organizes or schedules other people and their tasks; Develops realistic action plans.
- Problem Solving - Identifies and resolves problems in a timely manner; Gathers and analyzes information skillfully; Develops alternative solutions; Works well in group problem solving situations; Uses reason even when dealing with emotional topics.
- Professionalism - Approaches others in a tactful manner; Reacts well under pressure; Treats others with respect and consideration regardless of their status or position; Accepts responsibility for own actions; Follows through on commitments.
- Project Management - Develops project plans; Coordinates projects; Communicates changes and progress; Completes projects on time and budget; Manages project team activities.
- Quality Management - Looks for ways to improve and promote quality; Demonstrates accuracy and thoroughness.
- Safety and Security - Observes safety and security procedures; Determines appropriate action beyond guidelines; Reports potentially unsafe conditions; Uses equipment and materials properly.
- Strategic Thinking - Develops strategies to achieve organizational goals; Understands organization's strengths & weaknesses; Analyzes market and competition; Identifies external threats and opportunities; Adapts strategy to changing conditions.
- Teamwork - Balances team and individual responsibilities; Exhibits objectivity and openness to others' views; Gives and welcomes feedback; Contributes to building a positive team spirit; Puts success of team above own interests; Able to build morale and group commitments to goals and objectives; Supports everyone's efforts to succeed.
- Technical Skills - Assesses own strengths and weaknesses; Pursues training and development opportunities; Strives to continuously build knowledge and skills; Shares expertise with others.
- Visionary Leadership - Displays passion and optimism; Inspires respect and trust; Mobilizes others to fulfill the vision; Provides vision and inspiration to peers and subordinates.
- Written Communication - Writes clearly and informatively; Edits work for spelling and grammar; Varies writing style to meet needs; Presents numerical data effectively; Able to read and interpret written information.
