Compliance Associate, Risk Management Specialist
1 week ago
Benjamin F. Edwards & Co is a financial services firm that puts the interests of its advisors and clients first.
Salary InformationThe estimated annual salary for this position ranges from $80,000 to over $120,000 based on experience and qualifications.
Job DescriptionWe are seeking a Compliance Associate, Surveillance to join our team in monitoring client accounts and Financial Advisor activity to ensure compliance with FINRA, SEC rules and regulations, and company policies.
This role will act as the main point of contact with branch locations to interpret policies and procedures and regulatory rules. Conduct investigations of suspicious activity, recommend corrective action, and develop long-term prevention controls.
Key Responsibilities- Perform trade surveillance and evaluate potential exceptions based on securities laws, regulations, and company policy.
- Coach branch and home office staff on policies and procedures to promote compliance awareness.
- Collaborate with branch managers and other Compliance and Supervision personnel to address compliance matters.
- Assist in the development of new exception reports, processes, controls, and tools to help identify exceptions based on securities laws, regulations, and company policy.
- Draft or assist in the drafting of communications to brokers and clients addressing compliance matters.
- Provide compliance risk and regulatory subject matter expertise.
- Provide written and verbal updates to Compliance managers as needed.
To be successful in this role, you will need:
- An understanding of the application of SEC and FINRA regulations and the need for company Compliance Policies and Procedures.
- Strong regulatory, product, and brokerage knowledge, with an emphasis on mutual funds, annuities.
- Familiarity with automated supervision and surveillance systems.
- Ability to manage and prioritize multiple tasks while meeting deadlines.
- Ability to adapt to changing work environment, roles, and responsibilities.
- Ability to prioritize and resolve complex problems and escalate as necessary.
- Expertise with Microsoft Office (Word, Excel, and Outlook).
- Strong written, verbal, and analytical skills.
- Strong attention to detail.
We offer a comprehensive benefits package, including health, dental, vision, 401(k), life insurance, disability, and paid time off.
About Our Company CultureWe value our legacy of family and colleagues and cherish an environment where all succeed through collaborative support. We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of our mission statement.
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