Our Senior Compliance Principal will be responsible for analyzing and approving transactions within a trade blotter or electronic communications. In addition, this individual will follow up on other compliance related items with our field OSJ offices as required to ensure that the financial advisors are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm.
Essential Functions :
1. Review and approval of new account applications, reviewing transactions on a trade blotter, review and approval of variable annuities, mutual funds, and securities transactions for suitability and documentation, advisor email and client correspondence.
2. Conduct business practice reviews as needed and investigate sales practice concerns as they arise. Serve as point person for investigations and recommend disciplinary action as needed.
3. Assist with regulatory exams and requests as well as assist with the maintenance of the department’s written supervisory procedures.
4. Project management, planning and Issue resolution - This role will be relied upon to handle sometimes complex issues and aggressive deadlines.
We offer a competitive salary and benefits package. Please login or create an account to apply to this position. Principals only. EOE
- Undergraduate degree in Business, Accounting, Finance, or related discipline
- 7 + years compliance experience and 10+ years industry experience
- Series 7, 66 (or 63 and 65), 24 (or 9 and 10), required
- Series 4 and 53 a plus
- Life and Health Insurance License a plus
- All Microsoft applications, particularly, Excel, Word, Access, PowerPoint, and Visio
- Familiarity with BETA a plus
- Ability to work in a fast paced/high volume environment and be flexible with work schedule
- Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
- Excellent oral and written communication skills
- Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
- Strong mentoring skills
- Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
- Excellent management, and human relations skills
- Ability to develop compliance systems and strategies for effective supervision
- Knowledge of mutual funds, annuities, general securities, and other financial products required
- Knowledge of FINRA SEC, and State rules and regulations
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