A rapidly growing investment advisory firm focusing on individual wealth management out of the Midwest is looking for a seasoned compliance professional to join the team! This opportunity presents a tremendous opportunity to take the next step in a career in compliance at a premier value-based organization. If you're looking to utilize your compliance knowledge & experience within the financial services industry, apply below to find out more about this great opportunity!
Responsibilities:
- Conduct Internal operational and compliance reviews, to determine whether controls are adequate and effectively maintained in accordance with the Firm's policies and procedures
- Documents internal control deficiencies and regulatory exceptions
- Gather information for external Reviews and regulatory examinations and accurately compile required information
- Maintain knowledge of investment industry and regulatory/policy changes that could impact compliance monitoring or reporting
- Collects audit data, analyzes, compiles, and reports results
Qualifications:
- Compliance experience at a broker-dealer or RIA
- FINRA Series 7, 24, 65 (24 is required, willingness to complete others is acceptable)
- Strong working experience with securities and regulatory requirements for a registered broker-dealer, RIA
- Risk assessment skills essential
Benefits:
- Full benefits (medical, dental, vision, 401k)
- Unlimited PTO
- Hybrid work model
