Senior Compliance Officer

3 weeks ago

Indianapolis, United States CareerBuilder Full time

Description
SUMMARY
The Senior Compliance Officer acts as a resource and subject matter expert for departmental issues relating to broker-dealer, investment advisory, variable insurance and private investments and coordinates with other Compliance Officers including the designated Anti-Money Laundering Officer. This role has primary responsibility for the continued development and enhancement of the firms advisor-facing compliance strategy and works closely with the Chief Compliance Officer as well as business unit leaders to integrate compliance protocols within operations to ensure the organization, personnel and representatives comply with applicable federal, state and FINRA laws, rules, and regulations.
ESSENTIAL DUTIES AND RESPONSIBILITIES
To perform this job successfully, an individual must be able to perform each essential duty satisfactorily:
Research new and existing compliance and supervision issues (some complex), proactively identify risks and recommend solutions to the Compliance leadership team;
Assist in the development and implementation of policies, procedures, and surveillance systems for any issues;
Review and assist in updating procedures (as needed) to ensure they are in line with current regulatory rules and regulations;
Review and approve or recommend changes to advertising and marketing material submissions (company and advisor level), including social media and websites, to ensure compliance with applicable industry rules and regulations and firm policies;
File required advertising submissions to FINRA as necessary;
Utilize internal technology to ensure approvals are completed and tracked efficiently;
Support compliance team by participating in supervisory activities which may include monitoring, review, and approval of correspondence, ADV2b brochures, outside business activities, gift and gratuities/ non-cash compensation submissions and logs, supervisory exceptions, annual compliance questionnaires, firm and branch exam audits and findings, continuing education completion, audit deficiencies/findings, and other items as assigned;
Provide necessary remediation for any identified deficiencies;
Identify and respond to ongoing regulatory changes, ensure implementation of required policies and procedures and appropriate operational and compliance oversight;
Conduct suitability and best Interest reviews of customer and employee trading activity in securities, including mutual funds, variable annuities, equities, fixed income securities, etc. to ensure compliance with all internal procedures and industry regulations;
Perform analysis of complex suitability reviews to detect trends, trading patterns, and rules violations, to ensure adherence to securities industry regulations;
Regularly perform email surveillance review, identifying and escalating concerns and data to next level management;
Interpret, recommend, and apply changes to organizational policies and procedures;
Assist with internal compliance workflow reviews of books and records such as check logs, internet, and account reviews;
Maintain a broad knowledge base of the securities industry (regulatory, markets, products, processes, and operational methodologies);
Establish and maintain a strong relationship with peers, managers, and business partners;
Research complex compliance & supervision issues when required; and
Other compliance-related duties as needed
Requirements
KNOWLEDGE, SKILLS, AND/OR ABILITIES:
Strong project management experience with a proven track record of delivering extraordinary results on time;
Knowledge of, and ability to interpret and apply, insurance, broker/dealer, and investment advisor regulatory requirements;
Strong knowledge of the Investment Advisors Act of 1940;
Strong ability to work independently as well as on a team;
Excellent written and verbal communication skills; and
Proficient in O365
Professional demeanor that communicates Sanctuarys values and beliefs
EDUCATION AND/OR EXPERIENCE REQUIRED
Bachelors Degree;
5+ years of financial industry experience required
LICENSES/REGISTRATIONS REQUIRED
FINRA licensed SIE, 7, 63/65 or 66 and 24 are required. Series 4 and 53 are additional licenses preferred

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