Compliance Associate / Sales Supervisor
The candidate should have excellent problem solving skills and have the ability to demonstrate flexibility and adaptability to a constantly changing environment. Candidate will assist with policies, procedures and guidelines of regulatory standards applicable to the company, including implementation and maintenance of supervisory and control procedures.
RESPONSIBILITIES/DUTIES:
REGISTRATION
- Update CRD as needed, state licensing for AG and RA, disclosures, new hires, U5, branches, fingerprinting; reconcile with state individual licensing issues; exam requests; annual Registration Renewals; Monthly FINRA bill reconciliation; Assisting with legal and regulatory filings:
- Insurance State Licensing-maintain WIS state registrations
- Medallion Stamp-assist with setting up online courses and annual certification and billing for stamp; re-ordering stamp accessories for offices.
- Continued Education: Monitor Firm Element and Regulatory Element requirements.
SURVEILLANCE
- Correspondence review and approval, including electronic communication review and surveillance
- Conduct branch office reviews, as determined
- Supervision of home office and designated representatives’ activity, including review and approval of new accounts and related trade activity
- Advertising Review-reviewing, monitoring, and approving of advertisements, seminars and websites
- Mail/faxes and checks: monitor incoming mail and faxes and distribute as needed; maintain compliance check log
- Assist with transition; assist with transition team in processing new hires
- Review outside employee accounts, maintaining monthly review log and approval letters for outside employee accounts; monitoring brokerage accounts of registered representatives
- Annual Certification; assist with maintaining current status for all reps including Outside Business
- Review transaction blotters, including money movements
- Assist Chief Compliance Officer and Compliance Department as needed, including but not limited to, regulatory inquiries, client activity, and registered representative activity
MINIMUM QUALIFICATIONS:
Knowledge:
- Equivalent of Bachelor’s Degree and related experience in progressively responsible positions in a related field
- Strong understanding of investment business
- Knowledge of securities industry and appropriate certifications, such as:
Series 7 – General Securities Rep
Series 65/66 – Registered Investment Advisor
Series 24 – General Securities Principal
Series 4 – Options Principal
Computer/Internet skills
Skills/Abilities:
- Ability to analyze complex data and develop innovative recommendations and solutions
- Excellent planning, organizational and project management skills
- Excellent verbal and written presentation skills
- Strong customer service skills and must be results oriented
- Ability to be an effective team member and manage various projects
- Ability to interact effectively at all levels and across departments/diverse cultures
- Ability to be an effective member of and lead complex project teams
- Ability to facilitate progressive change
- Ability to speak a second language, although not required, is a plus
Leave a Reply
You must be logged in to post a comment.