Compliance Officer

3 weeks ago

Fort Lauderdale, United States Provenance Wealth Advisors Full time

Job Duties and Responsibilities

  • Assist in continually updating policies and procedures.
  • Assist in the following compliance functions: Overall compliance oversight, which includes Sales Material Review, OBA Review, Annual Compliance Audit, Exception Reporting, and Audit, Problem resolution, escalation, and communication.
  • Oversee the department's adherence to established policies and procedures and initiate the generation of new procedures as needed. Communicate to staff in monthly staff meetings.
  • Coordinate with the CCO on any department-related matters that need discussing or researching.

Knowledge / Requirements

  • Bachelors Degree preferred
  • Minimum 4 years experience in financial services, with at least 3 in Broker/Dealer and or RIA Compliance.
  • Series 24 license required.
  • Knowledge of compliance concepts, practices, policies, and procedures in the securities and RIA industry.
  • MS Excel, Word, Outlook, and PowerPoint proficiency to produce presentations, correspondence, electronic communication, and maintain spreadsheets.

Job Skills

  • Detail orientated.
  • Analyze operational policies and processes, identify and initiate opportunities for improvement, and be a problem solver.
  • Fundamental understanding of project management tools, techniques, and procedures.
  • Attention to detail while maintaining big-picture orientation.
  • Ability to balance conflicting resources and priority demands.
  • Demonstrate excellent work ethic.
  • Communicate effectively, both orally and in writing, with all levels of the organization.
  • Ability to work collaboratively as well as independently within a team environment.
  • Skill to motivate and persuade others to achieve desired outcomes.
  • Ability to build other team members for success.
  • Desire and expectation to continue improving knowledge of management skills.

Other Duties

Please note that this job description is not designed to cover or contain a comprehensive listing of activities, duties, or responsibilities that are required of the employee for this job. Duties, responsibilities, and activities may change at any time with or without notice.

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