Compliance Specialist recruitment
Investment Placement Group (IPG) is searching for an experienced compliance/ risk management professional who can evolve to increasing levels of responsibility in the RIA/ Asset Management side of our business. The position is based in San Diego, California and will report to the Chief Compliance Officer.
Responsibilities:
The ideal candidate will be responsible for the following:
- Supervise activities of financial representatives regarding laws/regulations/company policies related to the day to day business of a FINRA registered Broker Dealer and SEC Registered Investment Adviser.
- Conduct audits of Financial Representatives; supervisory review of e-mail/correspondence/advertising
- Monitor and review trades and activities of supervised personnel in accordance with applicable laws/regulations and company policies.
- Maintain appropriate records to document supervisory practices
- Assure compliance with record keeping and reporting requirements imposed by regulatory agencies and the company
- Ability to multi-task and maintain a calm demeanor under pressure
- Update and maintain necessary documentation for FINRA and SEC regulatory audits
- Assist in and take responsibility for developing our compliance policy in the Investment Advisory business, which is our fastest growing segment.
Requirements
The ideal candidate will possess the following competencies:
- Bilingual in English/ Spanish
- Minimum 3 years of experience in broker-dealer and investment advisory compliance oversight.
- Experience with Anti-Money Laundering programs and regulations
- FINRA Series 7, 65/66 and 24
- Experience with the Investment Advisers Act of 1940
- Ability to communicate effectively with senior management and regulators
- Bachelor’s degree
About IPG:
We are growing strategically into the asset management business with a specialty in emerging and high yield fixed income by levering our significant investing experience and local in country relationships.
Qualified Applicants may apply by clicking "apply now" and your resume will be directed to the correct point of contact