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Job ID Number: 1255111167
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Registration and Licensing |
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| Job Title: |
Compliance Specialist, Licensing & Registration |
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| State/Location: |
CONNECTICUT |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
The Compliance Analyst assists the AVP, Senior Compliance Officer with all compliance activities related to the Firm’s broker dealer.
1. Assist the CCO & Senior Compliance Officer in Administering broker dealer’s compliance program;
2. Assist the Chief Compliance Officer with investigating the qualifications of each registered representative.
3. Maintain Employee Compliance files for all Registered Representatives.
4. Obtain and submit fingerprints of each Registered Representative as well as generating and reviewing weekly Criminal History reports. Responsible for coordinating finger print process for all sites.
5. Responsible for the electronic submission of all amendments to the initial Form B/D through FINRA’s website.
6. Coordinate an annual review of the Form B/D with CCO and Senior Compliance Officer.
7. Responsible for the annual renewal of the broker/dealer with FINRA/CRD and state securities division.
8. Responsible for coordinating New Hire Orientation for new employees, including general overview of Firm’s policies. Coordinate the collection of required certifications from newly hired employees.
9. Establish, maintain and review policies relating to the security, integrity and confidentiality of client information according to Regulation S-P.
10. Ensure that the Firm’s supervisory organization chart is up to date at all times and that all appropriate personnel throughout the organization are properly registered.
11. Serve as the primary contact and responsible for maintaining and updating the Firm’s Business Continuity Plan (BCP) in the event of a material change to the Firm’s operations, structure, business and location. Also responsible for ensuring Business Continuity disclosure is updated on the Firm’s website as needed. Responsible for assisting in conducting an annual review of BCP.
12. Responsible for ensuring that the FINRA account is properly funded.
13. Support the MLRO and backup MLRO with AML surveillance and monitoring.
14. Assist the CCO and Senior Compliance Officer with various other duties as assigned.
QUALIFICATIONS
1. Five years securities industry experience with a broker dealer or ; investment advisor.
2. In depth knowledge of FINRA Web CRD system
3. Solid understanding of securities industry regulatory requirements
4. Highly organized with focused attention to detail and in-depth research skills .
5. Experience preparing documentation and responding to internal/external compliance questions.
6. Strong interpersonal and relationship building skills; a respected a team player
7. Bachelor's Degree is required; JD or MBA a plus
8. Possesses the Series 7 and the Series 24 securities licenses ( or obtains such license(s) within six months of the start date)
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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