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Overview

Responsibilities will include managing the day to day operational activities of the broker-dealer and investment advisers to include: complaints management, conflicts of interest, branch inspections, data reconciliation, and answering general compliance inquiries.

Responsibilities

• Data Analysis - Sources, validates, and interprets data. Analyzes data for discrepancies and risks, effectively communicates analysis output.
• Compliance Review - Researches and investigates unusual activity or flagged documentation, processes, and transactions. Ensure compliance with applicable laws, regulations, policies, and procedures. Resolves issues, clears exceptions, or escalates as appropriate.
• Documentation - Compiles all relevant business, process, or user information prior to compliance reviews. Ensures the accuracy, compliance, and completeness of required documentation. Maintains and updates files for the business unit. Produces reports for management on risks, trends, and exceptions.
• Business Support - Assists with regulatory exams, audits, risk assessments, and other related projects. Identifies and recommends operational or process improvements. May perform system testing or maintenance.
• Compliance Proficiency - Maintains knowledge of laws, regulations, procedures, and policies that affect the assigned business area through ongoing research and industry involvement. May participate in industry events, form partnerships with other professionals, or seek additional training to remain current on evolving issues.

Qualifications

Bachelor's Degree and 2 years of experience in Compliance or Anti-Money Laundering, Banking OR High School Diploma or GED and 6 years of experience in Compliance or Anti-Money Laundering, Banking. Position will require a Series 24 and Series 7 or Series 14.