Job description

Primary Responsibilities: include the following, but is not necessarily an exhaustive list of all responsibilities, duties, performance standards or requirement efforts, skills, or working conditions associated with the job. Management reserves the right to revise the job or to require that other or different tasks be performed when circumstances change (i.e. emergencies, rush jobs, change in workload, or technological developments).

• Supporting a compliance-driven culture, adhering to policies and procedures in order to ensure regulatory compliance and effectively mitigate and manage risk
• Daily review and resolution of Compliance alerts and Compliance exception reports
• Provide full support to the CCO, during internal and external audits and reviews from the regulatory agencies
• Conduct daily, periodic and special compliance reviews involving the analysis of relevant documents
• Review, document, and maintain accurate, complete, and organized records substantiating all compliance research
• Provide administrative support for the annual compliance meeting and periodic compliance training. Support in compiling and maintaining required records
• Support in processing and maintaining required registrations
• Assist in coordinate the analysis, design and practical implementation of controls into the broker business compliance policies and procedures in response to current and proposed securities rules and regulations as well as evolving business needs
• Assist in identifying potential areas of compliance risk

Education and Experience:

• Bachelor’s degree
• 3-5 years of compliance experience in the financial service area
• Experience with a bank-based broker/dealer a plus
• Series 7 required

Language Skills: Speak, read, and write English and Spanish, Portuguese a plus

Other Skills and Abilities:

• Ability to work independently, recognize and assess compliance risks.
• Be able to manage or assist with multiple, concurrent activities in a timely manner.
• Strong use of Excel and Power Point presentations
• Outstanding communications skills both written and verbal
• Solid work ethic, professional, and positive attitude
• Experience with NetX360

Equal Opportunity/Affirmative Action Employer, M/F/V/D

Search for this job, NO EMPLOYMENT AGENCIES, HEAD HUNTERS, EXECUTIVE SEARCH FIRMS OR REPRESENTATIVE CALLS PLEASE.

Job Type: Full-time

Pay: $65,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Retirement plan
• Tuition reimbursement
• Vision insurance

Schedule:

• Monday to Friday

Work Location: In person

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