Our client, a Leading Brokerage Firm, is looking for a Compliance officer to join their growing team.
26th July, 2022
Position Purpose: Responsible for supporting compliance routines and initiatives as it relates to the Broker-Dealer business. Provides day-to-day compliance support, responding to questions and clarifying policy. Processes and performs certain specific compliance review functions on a daily/weekly/monthly basis as assigned by management.
Monitors business activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations.
Prepares and maintains all aspects of scheduled Branch Office Inspections according to guidelines.
Participates in the development and maintenance of comprehensive Written Supervisory Procedures relative to all aspects of compliance matters.
Coordinates and participates in specific compliance related projects and their daily activities as assigned from time to time.
Surveillance and oversight of employee disclosures.
Discovery for complaints, regulatory inquires and arbitrations/litigations.
Reviews and analyzes compliance monitoring reports and other related source documents.
Follow up with responsible area(s) for explanations and discussions for appropriate action.
Assist in obtaining information for system updates / enhancements as needed.
Develop positive relationships with business line partners.
Assists in the creation and distribution of Employee and Supervisory Training Sessions.
Researches and reports new rules and regulations and how they affect the business activities of the firm to ensure Compliance.
Conducts email, advertising, and marketing reviews
Bachelor’s degree or equivalent financial industry experience
Ability to work independently
Strong analytical and problem-solving skills
Excellent written and verbal communication skills
Strong research/investigative skills
Proficient in MS Office products with focus on Excel
Able to develop positive and productive relationships with business line partners (sales, support and management)
Ability to effectively prioritize and multi-task in a fast-paced environment
FINRA Series 7, 24 are required. Candidate may be required (according to specific position responsibilities) to have Series 63 and 65/66.
Able to lead by example in professional and ethical manner
Must be available for travel as needed
Ability to work in a fast-paced environment with a sense of urgency