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This position is responsible for providing Financial Regulatory Authority (FINRA) and Securities and Exchange Commission (SEC) compliance supervision and oversight to Company Brokerage Services, Inc., its field staff, firm and other entities. This position provides initial and ongoing compliance assessments to the organization as a whole, and ensures the sales practices of our registered sales force, as well as the operational practices of the firm; meet the stringent and evolving regulatory requirements of all state and federal regulators.
Communicates regulatory exposure or concerns to Sr. Leadership; keeps abreast of changes in the regulatory environment; develops and implements strategic safeguards accordingly.
Provides advice as regards to strategy, management and operations as well as the structure of a business. They analyze and identify problems, research and collect data, prepare business proposals, manage projects and programs. They recommend solutions, utilizing knowledge of theory, principles, or technology of specific discipline or field of specialization. Consults with client to ascertain define need or problem area plus determine scope of investigation required to obtain solution. Consultants analyze data to define solution, and examine alternate methods as well.
Provide compliance oversight and supervision to national base of registered representatives and investment advisory representatives (including Company employees, those employed by a credit union and self-employed), sales managers and support staff, supervising principals, and other registered CMG associates.
Primary focus will be to perform complex compliance reviews and assessments to adhere to securities requirements on behalf of the Registered Investment Advisor (RIA).
Assist with the annual review and testing requirements under SEC Rule 206(4)-7, including on-going reviews of portfolio management, trading, billing, cybersecurity, vendor due diligence, etc.
Conduct comprehensive assessments to determine probability and impact of risk. Create and implement solutions to mitigate such risk.
Responsible for all regulatory reporting required for the Registered Investment Advisor (RIA) business including annual and ongoing updates to Form ADV.
Maintenance of the Firm's Code of Ethics including monitoring of personal securities transactions and gifts and entertainment.
Conduct continuous regulatory testing to ensure satisfaction of business objectives, legal soundness, and compliance with rules and regulations.
Monitor trading activity to ensure compliance with regulatory investment and contractual guidelines.
Coordinate with regulators on securities inquiries, investigations and examinations.
Updates & revises internal compliance procedures & manuals to reflect changes as directed by the SEC.
The above statement of duties is not intended to be all inclusive and other duties will be assigned from time to time.
FINRA Series 7, 24 registrations; 53, 63 and 65/66 Registration within 90 days in position.
Five years professional work experience in regulatory compliance of the securities industry. Bachelor's degree in Business, Marketing, Insurance or other related field or equivalent professional work experience in the securities industry.
Demonstrated analytical and organizational skills.
Ability to work with limited direction, set priorities, manage deadlines and work in a team environment.
Ability to understand and abide by the confidential nature of information managed and tasks performed.
Strong ability to communicate clearly, concisely, tactfully and effectively both verbal and in writing to large and diverse audiences.
Ability to perform technical research and analysis of laws and regulations and apply them to company operations, products and securities transactions.
Strong written and verbal communication skills and human relation skills.
Advanced negotiating and influencing skills.
Company’s insurance, retirement and investment products provide financial security and protection to credit unions and their members worldwide. As a dynamic and growing company, we strive to create a culture of performance, high standards and defined values. In return for your skills and contributions, we offer highly competitive compensation and benefit packages, significant professional growth, and the opportunity to win and be rewarded.
Please provide your Work Experience and Education or attach a copy of your resume. Applications received without this information may be removed from consideration.
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