Compliance Analyst (Broker Dealer) recruitment
This individual will have general responsibility for monitoring of day-to-day activities of the broker dealer and assisting in compliance administration matters for the broker dealer. Responsibilities include, but are not limited to, assisting the Chief Compliance Officer of the broker dealer with the ongoing administration of the compliance program. This includes assisting and coordinating the various compliance activities, under the direction and guidance of the CCO-BD to include monitoring compliance calendar, reviews testing, policies procedures, as well as overall compliance program administration. Also performs other duties, as requested/directed by the CCO.
Responsibilities
- Assist CCO with compliance testing, documentation and implementation of changes to policies and procedures as well as coordinating communications of same.
- Assist CCO with monthly, quarterly and or annual compliance reporting, testing surveillance, checklists, certifications, acknowledgements including exception follow-up, if any, such as with Code of Ethics, Personal Trading, Account Statements, etc.
- Conduct compliance testing for e-mail correspondence, sale and trading activities and document findings. Assist the CCO in DRAFTING reports to management detailing compliance review results.
- Participate in team departmental meetings and assist with the annual planning and scheduling of the branch office inspection program.
- Assist in conducting and documenting independent branch office reviews, including DRAFTING report to management detailing findings.
- Participate in marketing material review and file necessary documents with FINRA.
- Prepare charts and graphs of KPI’s for management presentations
- Coordinates within and outside the company/affiliates to maintain compliance books and records, as required. Assists with the same in connection with internal and external audits.
- Coordinates and monitors/tracks the status of colleague securities/insurance licensing (e.g. Series 7, 63/65, 24, Group I, etc). Assists colleagues in obtaining and completing the necessary licensing applications and, once approved by CCOs, submits them to the appropriate regulatory agencies.
- Assists with the scheduling and planning of board, committee and or workgroup meetings, including gathering information from internal and external sources (business units, affiliates, auditors or examiners) for reporting purposes.
- Complies fully with all Bank and affiliate policies and procedures, as required.
Job Skills and Knowledge
Basic Qualifications
• * High school diploma or GED required; college degree, PREFERRED;
• * Minimum 3 years’ experience in a compliance environment of a financial institution or financial services company, preferably with a compliance department of a broker dealer;
• Proficient in MS Office Word, Excel, and Outlook required.
• Excellent problem solving, time management and organizational skills required.
• Good verbal and written communication skills required to interact with all levels of colleagues and outside contacts.
• Must have at least series 7 license.
In return, we offer a competitive salary and comprehensive benefits package.
Please hit APPLY ONLINE below and submit resume and cover letters in Word attachment. We will contact those individuals for interviews deemed best suited for this exciting career opportunity at Rochdale.
Please include salary history. A cover letter is welcome. Resumes without salary history will not be reviewed.
Rochdale Investment Management is an Equal Opportunity Employer