Regulatory Compliance Specialist
3 days ago
We are seeking a skilled Regulatory Compliance Specialist to join our team at Signature Estate & Investment Advisors, LLC. As a key member of our Compliance Department, you will be responsible for identifying and assessing risk across all business lines, including Registered Investment Advisor, Broker Dealer, and Insurance.
Key Responsibilities:
- Stay up-to-date with new and changing regulatory requirements and develop written policies and procedures to update supervision manuals.
- Enforce Policies & Procedures and Written Supervisory Procedures across the business.
- Perform supervision within queues with regards to transaction, account, correspondence & client record reviews.
- Suitability reviews.
- Address and resolve inquiries regarding compliance issues from employees, clients, and third parties.
- Conduct Marketing Reviews.
- Manage multiple tasks simultaneously and ensure their completion to final resolution.
- Perform internal audits of processes and report on findings.
- Liaise with external auditors, regulators, and legal counsel.
The estimated salary for this role is $80,000 - $110,000 per year, based on industry standards in Los Angeles.
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