Why is This a Great Opportunity?
• Join a well-established, highly reputable financial services organization with over a century of success.
• Directly contribute to a strong culture of integrity, transparency, and regulatory excellence.
• Collaborate closely with firm leadership on compliance and risk management initiatives.
• Gain exposure to both investment advisory and broker-dealer regulatory environments.
• Opportunity for continued professional growth, licensing, and advancement.
Job Description:
The Compliance Officer supports the firm’s compliance program by overseeing the implementation of internal controls, policies, and monitoring systems that mitigate regulatory and operational risks.
This role works cross-functionally with management and business teams to ensure compliance with applicable laws, rules, and regulations.
• Develop, update, and enforce compliance policies, procedures, and internal controls.
• Monitor sales, marketing, and client activities for adherence to regulations.
• Review communications, advertising, and social media for compliance accuracy.
• Interpret industry regulations and provide clear, actionable guidance.
• Support training and continuing education programs.
• Review money movement, AML, and exception-based monitoring reports.
• Prepare responses to regulatory inquiries and examinations.
• Provide compliance support and build a proactive compliance culture across teams.
Qualifications:
• Bachelor’s degree preferred.
• Active securities licenses Series 7 and 63/66 required; Series 4, 9, 10, or 24 to be obtained within six months.
• Strong knowledge of RIA and Broker-Dealer regulatory environments.
• Excellent communication and analytical skills.
• Ethical, detail-oriented, and able to manage confidential information.
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