Compliance Officer

24 hours ago


Charlotte, North Carolina, United States PeopleSolutionsNOW Full time
Job Title: Associate Agency Supervisory Officer

We are seeking a highly motivated and detail-oriented Associate Agency Supervisory Officer to join our team at PeopleSolutionsNOW. This role is a great opportunity for individuals interested in a career in compliance.

Job Summary:

The Associate Agency Supervisory Officer will be responsible for monitoring and adhering to all Company and Regulatory rules and regulations. This individual will work closely with the Supervisory Team to ensure all processes and procedures are being followed and to maintain a culture of compliance and integrity.

Key Responsibilities:
  • Conduct email and social media reviews and work with Advisors on corrective actions as necessary
  • Conduct Personal Interviews and Detached Office reviews
  • Develop and implement supervisory-related training as needed
  • Review and submission of advertising materials and act as a liaison between the Home Office and the Advisor
  • Assist in the processing of securities-related New Business
  • Review and approval of Advisor/Agency seminars and events
  • Ensure that all required agency records are maintained in accordance with Company policy
  • Respond to questions from Advisors and Agency Associates regarding compliance issues and Company policies
  • Conduct client file reviews and monitor incoming and outgoing correspondence
Requirements:
  • Series 24 license required upon hire
  • Series 7 required upon hire
  • Series 63 required upon hire
  • Series 52 & 53 (Municipal Securities Principal) at the time of hire or required to obtain post-hire (w/in 12 months of hire)
  • No material disciplinary history
  • Excellent written and verbal communication skills
  • Strong attention to detail
  • Ability to work in a fast-paced environment
  • Handle multiple priorities in a constantly changing environment
What We Offer:
  • A supportive and dynamic culture committed to its core values
  • Opportunities to grow and develop
  • Base salary commensurate with experience and bonus program
  • Benefits including medical, dental, vision, and 401(k) Savings Plan
  • Competitive vacation/PTO program

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