We are seeking a Compliance Officer to report directly to the firm's President-Director/Chief Compliance Officer.
The ideal candidate will be a professional and critical thinker, possessing excellent written and verbal communication skills and a strong interest and general understanding of the regulatory framework governing the securities industry. The Compliance Officer will support the firm's compliance function to ensure business is conducting itself ethically and in compliance with the firm's policies, procedures and regulations and in accordance with FINRA, SEC and DOL guidelines.
You will work in tandem with our President-Director/CCO and Operation Manager to:
- Assist in the development, review and enforcement of the firm's policies and procedures and monitor compliance therewith
- Assist in the development and implementation of policies, procedures and controls relating to new products, services and regulatory guidelines
- Research and understand changes in legislation and how those changes affect the firm
- Assist in new employee compliance onboarding
- Manage daily trading activity (trade blotters) and the upload/submission of all monthly/quarterly/annual documents for satisfactory compliance of books and records
- Manage audits
- Provide recommendations to improve efficiencies with compliance
- Assist with the creation and implementation of internal forms/spreadsheets/workflows, etc. to ensure the firm is meeting any/all regulatory requirements
- Orchestrate all compliance related employee trainings
- Prior experience in financial services or regulated industry required
- Prior experience or education in law or compliance preferred
- Bachelor's degree required
- FINRA Series 7 & 66 required. Series 24 desired but not required.
- General understanding of the regulatory framework governing the securities industry
- Desire to pursue a career in regulatory compliance and law within the financial services industry
- Basic knowledge-either through work or education-of financial services and capital markets
- Highly analytical with strong attention to detail
- Efficient time and project management
- Proficiency in Microsoft Office
- Knowledge of CRM (e.g. Redtail)