Associate Compliance Officer, Broker Dealer and RIA Job at International Assets Advisory, LLC, Orlando, FL

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  • International Assets Advisory, LLC
  • Orlando, FL

Job Description

Job Description

Job Description

We are looking for an Associate Compliance Analyst to support the broker-dealers’ Chief Compliance Officer (CCO) and compliance team. The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance program reporting directly to the Broker-Dealer’s Chief Compliance Officer and supporting our affiliated SEC Registered Investment Advisor compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedure

Responsibilities

  • Review of the sales and trading activities of financial advisors
  • Conduct licensing and registration activities for broker dealer and RIA, including Form U4, U5, Form BR and disclosures.
  • Respond to state registration inquiries
  • Participate in the on boarding of new advisors
  • Track, report and resolve deficiencies related to exception reports
  • Assist in the investigation and resolution of customer complaints and FINRA/SEC inquiries.
  • Responding to clearing firm inquiries
  • Provide monthly and quarterly compliance reports to the CCO
  • Maintain internal records
  • Employee account oversight

Requirements and Skills

  • FINRA Series 7
  • FINRA 24 or the ability to obtain within 90 days
  • Solid understanding of SRO rules for securities licensing and proficiency in FINRA Gateway
  • Minimum of two years compliance and/or supervisory experience
  • Strong knowledge of financial services industry and products and services
  • Ability to prioritize and multi-task
  • Outstanding organizational and time management skills
  • Excellent verbal and written communications skills
  • Deadline and detail-oriented
  • Aptitude for analysis, investigation and problem solving
  • Strong proficiency in office programs, with particular emphasis on Excel

Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.

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