Regulatory Compliance Specialist

1 week ago

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

Position: Regulatory Compliance Specialist – Sales and Supervisory Practices

Overview

In the role of Regulatory Compliance Specialist – Sales and Supervisory Practices, you will oversee both announced and unannounced examinations of sales practices within branch offices. These evaluations will concentrate on the conduct of individual Financial Advisors and the compliance of their records with relevant regulations and procedures, ensuring that their sales activities uphold the highest ethical standards. You will collaborate with branch managers, advisors, and support personnel to guide them in maintaining compliance with all federal and state regulations, as well as the internal policies of Benjamin F. Edwards & Co.

Key Responsibilities:

  • Conduct on-site evaluations of branch offices to verify compliance with federal, state, and internal regulations, rules, and policies.
  • Provide training to management and supervisory staff on the effective use and documentation of the firm's electronic supervisory systems.
  • Communicate audit activities and findings to management through timely reporting and follow up on any identified concerns. Educate branch and home office personnel on compliance-related policies and procedures.
  • Handle daily compliance functions for retail brokerage, investment advisory, operations, and capital market activities.
  • Stay informed about industry trends, regulatory changes, and firm policies.
  • Assist in the development of firm practices and policies; recommend enhancements to processes and procedures.

Qualifications:

  • Proficient in technology, including the MS Office suite and Adobe Acrobat.
  • Experience with Salesforce and Orion is preferred.
  • Adept at analyzing data, recognizing trends, and escalating issues to the appropriate parties.
  • Strong critical thinking and decision-making abilities, considering regulations, risks, and client impacts.
  • Excellent written and verbal communication skills.
  • Ability to prioritize and manage multiple projects and process improvements effectively.
  • Willingness to travel 25% – 30% of the time.

Education and Experience:

  • Bachelor's degree or equivalent professional experience of 7 years.
  • At least 3 years of experience in retail brokerage; compliance experience is a plus.

Licenses and Certifications:

  • 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 remain stationary for extended periods and the capacity to lift up to 25 pounds occasionally. Some filing duties are involved. The work environment is a climate-controlled, smoke-free office setting, utilizing standard office equipment such as computers, phones, photocopiers, and filing cabinets.

About Benjamin F. Edwards & Co.

If you are looking to join a firm that prioritizes the interests of its advisors and clients, you have found the right place. Founded in 2008, we serve over 300 advisors with more than $30 billion in assets, providing the scale our advisors expect while delivering personal and concierge-level service to our clients.

We cherish our legacy of family and colleagues, fostering an environment where everyone can thrive through collaborative support. Our commitment to legacy extends beyond the past; it is about creating an experience that prepares us and our clients for the future.

We invest in our team and recognize the value of hard work. The rewards of this role are rooted in the positive impact you will have on our clients' lives, all within a culture that encourages learning, growth, and excellence. Enjoying our work is integral to our mission.

We offer a comprehensive benefits package that 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. We welcome all applicants with the skills, experience, and enthusiasm to excel, 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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