Compliance Officer – 9821

Key Responsibilities

• Support regular compliance testing and monitoring of policies and procedures including: personal trading; outside business activities; gifts and entertainment; registrations and filings; sales practice; and, operations
• Prepare written policies and procedures and support remediation efforts of compliance
• Assist in ongoing compliance training of the firm and orientation for new hires
• Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations
• Ensure all required books and records and properly maintained pursuant to SEC requirements
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice

Required skills, Experience and Qualifications

• 3+ years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank.
• Bachelor's Degree in a related field.
• Experience identifying compliance issues and operational risk concepts.
• Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules.
 
Preferred:


• Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.
• The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.
• Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.
• This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities
• Knowledge of FINRA/SEC compliance and/or supervisory procedures
• Series 7 registration. If this person does not have, expected to obtain within the first year.
• Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities
• Ability to handle competing priorities, be self-directed and able to manage workload and make decisions
• Teamwork, excellent communication and analytical skills are essential
• Proficient in Word, Excel, Outlook, and PowerPoint
• Regulatory experience
• Written communication
• Communicativeness
• Problem solving & decision making
• Industry knowledge
• Functional/technical expertise
• High standards
• Integrity