Compliance Officer – 9821
- 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.
- 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
- Problem solving & decision making
- Industry knowledge
- Functional/technical expertise
- High standards
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