Compliance Associate

1 month ago

Saint Louis, United States Benjamin F Edwards & Co Full time
Job DescriptionJob Description

Compliance Associate – Sales and Supervisory Practices

Summary

As the Compliance Associate – Sales and Supervisory Practices, you will be responsible for conducting announced and unannounced sales practices examinations of Benjamin F. Edwards branch offices. These sales practice examinations are focused on the practices of individual Financial Advisors and on the books and records requirements of each office to ensure adherence and compliance with all applicable regulations and procedures; and that the advisor’s sales activities are of the highest ethical standards. You will consult with branch managers, advisors, and the support staff and provide direction on maintaining the branch office in accordance with all federal (FINRA, SEC, etc.) and state regulations, as well as Benjamin F. Edwards policies and procedures.

Essential Duties and Responsibilities:

  • Perform on-site audits of branch offices to ensure adherence to all federal, state, and Benjamin F. Edwards regulations, rules, and policies and procedures.
  • Provide training to managerial or supervisory personnel in the proper use of, and correct documentation procedures, of the firm’s electronic supervisory programs.
  • Communicate pre and post audit activities and audit results with Management via timely reports and perform follow ups on any noted areas of concern. Train and educate all applicable branch and home office personnel on compliance related policies, procedures, and systems.
  • Perform day-to-day compliance tasks for retail brokerage, investment advisory, operations, and capital market activities.
  • Maintain current knowledge of industry, regulatory, and firm practices, and policies.
  • Develop, or assist in the development of firm practices and policies; and identify and recommend improvements to processes and procedures.

Qualifications:

  • Comfortable with technology, including proficiency in MS Office suite and Adobe Acrobat.
  • Experience working with Salesforce and Orion is preferred.
  • Ability to analyze data, identify trends and escalate issues to the appropriate individuals or department.
  • Strong critical thinking and decision-making skills, with the ability to consider regulations, risk, and client impact.
  • Exceptional written and oral communication skills.
  • Ability to prioritize and manage multiple projects and process improvements.
  • Willingness and ability to travel 25% – 30% of the time (via plane and car).

Education and/or Work Experience:

  • Bachelor’s degree; or equivalent work-related professional experience of 7 years.
  • Minimum of 3 years of retail brokerage work-related experience; retail brokerage compliance experience a plus.

Licenses and Registration:

  • Series 7 and Series 63/65 or 66 required.
  • Series 24 required or the ability to obtain within 3 months of hire.
  • Series 9/10 required or the ability to obtain within 12 months of hire.

Work Environment:

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.

About Benjamin F. Edwards & Co.

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $30 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are in good hands, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.


Benjamin F. Edwards is an Equal Opportunity Employer

#LI-Onsite

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