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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