Cambridge Investment Research, Inc., a national leader as a securities broker/dealer, has an opening in Compliance for a full time Compliance Examiner in our Norcross, GA Office.
This position assists with the activities and responsibilities of the Compliance Department. Primary responsibility of branch office visits including preliminary reviews, performing actual on-site visits and in-depth follow up. In addition, answering registered representatives' questions on various compliance topics, especially with regard to transition, audits and communication with the public.
Essential duties and responsibilities include:
· Effectively assist to ensure external and internal policies and procedures are being followed by registered representatives and their staff.
· Regularly schedules trips to remote locations throughout the U.S. and plans specific routes.
· Performing audits of registered representative offices as directed.
· Effectively communicate pre and post audit results to Senior Compliance Examiner and the RR or branch via timely formal written reports.
· Regular detailed review of registered representative Outside Business Activities
· Regular detailed review of communications with the public, including advertising, sales literature, outgoing correspondence and email.
· Professional appearance and demeanor.
· Professional and courteous problem solving and trouble-shooting of inbound phone, voice mail, e-mail and occasionally in-person inquiries from the company’s existing registered representatives, new representatives, staff and regulators.
· Ability to accurately communicate questions and concerns from reps to appropriate home office personnel.
· Continuous seeking out of compliance knowledge, industry knowledge, procedures, issues and concerns.
· Bachelor’s degree (B.A.) or equivalent from four-year college or university; or one to two years related experience and/or training; or equivalent combination of education and experience.
· Class C valid, current driver’s license is required.
· Series 7 and Series 24 securities examinations required (or obtained within 6 months).
Series 65 or 66 is also preferred
· Knowledge of Microsoft Applications