One of the leading, specialty broker-dealer and investment firm is currently seeking a Compliance Officer to join the compliance team and is responsible for implementing compliance policies and strategies for the firm. Your role will serve as a critical member of the organization, supporting its larger objectives such as compliance testing and assisting in the analysis of regulations and financial services laws.
The Compliance Officer will be responsible for:
- Preparing for and running annual compliance exams
- Providing ongoing feedback to Chief Compliance Officer regarding compliance policies and procedures
- Evaluating sales, office support, and office supervisory support functions
- Certifying FINRA filing is completed and resolving any FINRA comments provided
- Monitoring firm's regulatory activities to ensure adherence to regulations
- Monitoring the firm's electronic communications and social media policies
The Compliance Officer should have the following qualifications: ​
- Series 7 and 24 are required
- Willingness to obtain Series 50, 52, 53, 54, and 79
- Prior experience working in the investment, private equities, or financial services industries
- Bachelors degree required
Benefits/Perks:
This firm offers the following competitive benefits which allows for a healthy work life balance such as:
- Competitive pay
- Generous PTO
- Hybrid work model
​If you are interested in the Compliance Officer role, then please apply!