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Job ID Number: 1255541838
Please reference this Job ID number in any communication you may send.
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| Job Category: |
Hot Jobs |
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| Job Title: |
Compliance Associate |
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| State/Location: |
Vermont |
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| Recruiter Name: |
Jack Kelly |
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| Recruiter Email: |
JKelly@ComplianceSearch.com |
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| Description: |
Out client is a broker/dealer and registered investment advisor with an extensive line of financial products and services including mutual funds, unit investment trusts, stock and bond trading, public and private limited partnerships, real estate investment trusts, variable annuities and asset management services.
The firm seeks a qualified individual to ensure that the firm and its offices of supervisory jurisdiction, branch offices, employees and registered representatives, are in compliance with the rules set forth by the SEC, FINRA, MSRB, state Blue Sky laws and internal policies and procedures
Key Responsibilities
The individual in this position will be responsible for:
• Conducting routine on-site inspections of field branch offices.
• Presenting annual compliance meetings for branch and home office registered representatives.
• Reviewing incentives in accordance with rules related to non-cash compensation.
• Reviewing and tracking receipt of branch office audits conducted by OSJ supervisors.
• Assisting in conducting tests of internal procedures in accordance with NASD Rule 3012.
• Assist in responding to regulatory inquiries and customer complaints.
• Provide general compliance support to all registered representatives and to other business units within the Firm.
Requirements
• The successful candidate must possess excellent communication and interpersonal skills and be willing to travel.
• Compliance experience and knowledge of FINRA, SEC and individual state securities rules preferred.
• Successful completion of Series 7 and Series 24 examinations is requisite within six months of hire.
• A bachelor's degree or equivalent in years of experience and knowledge is preferred.
Please send resumes to Jack Kelly at JKelly@ComplianceSearch.com
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