Compliance Officer, Broker Dealer and RIA
2 weeks ago
We are seeking a highly motivated and detail-oriented Associate Compliance Officer to support our broker-dealer's Chief Compliance Officer (CCO) and compliance team. The ideal candidate will have a strong understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations.
Responsibilities
- Conduct reviews of sales and trading activities of financial advisors
- Manage licensing and registration activities for broker dealer and RIA, including Form U4, U5, Form BR and disclosures
- Respond to state registration inquiries
- Participate in the onboarding of new advisors
- Track, report and resolve deficiencies related to exception reports
- Assist in the investigation and resolution of customer complaints and FINRA/SEC inquiries
- Respond to clearing firm inquiries
- Provide monthly and quarterly compliance reports to the CCO
- Maintain internal records
- Employee account oversight
Requirements and Skills
- FINRA Series 7
- FINRA 24 or the ability to obtain within 90 days
- Solid understanding of SRO rules for securities licensing and proficiency in FINRA Gateway
- Minimum of two years compliance and/or supervisory experience
- Strong knowledge of financial services industry and products and services
- Ability to prioritize and multi-task
- Outstanding organizational and time management skills
- Excellent verbal and written communications skills
- Deadline and detail-oriented
- Aptitude for analysis, investigation and problem solving
- Strong proficiency in office programs, with particular emphasis on Excel
Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.
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