An independently owned and tight-knit financial advisory holding firm is looking for a Compliance Principal to join its team in Chicago and/or Dayton! A successful candidate for this role will have experience in the compliance space at a financial services firm, and have a vast understanding of the regulations of the SEC and FINRA. Experience navigating large broker dealers in sales, compliance and other operations will also lead to success in this position. If you have a passion for ethics, compliance, and integrity, don't hesitate to apply now!
Responsibilities
- Manage the daily compliance workload ( i.e monitoring and reviewing compliance material)
- Maintain Knowledge in B/D social media systems, rules and requirements
- Check deposits and review marketing literature
- Administer associate licensing and CE program
- Prep and participate in annual audits
Qualifications
- Understanding of or experience in the Broker Dealer industry
- Extensive knowledge of the rules and regulations of the SEC & FINRA
- Current/active FINRA series 24 and/or series 9 & 10 licenses
- 2+ years of experience at a financial services company
Locations
- Chicago, IL
- Dayton, OH
