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Form of workJob Description
HIring a dynamic Compliance Analyst(for the broker-dealer) in the Brookhaven area of Atlanta. (Must be local to the area) This is a direct hire opportunity that will train 100% in the office, then work a hybrid schedule.
5+ years of experience in Compliance or Supervision in an Investment or Securities company/firm. Series 7, 24, 66 or 65 are required.
5+ years of experience in Compliance or Supervision in an Investment or Securities company/firm. Series 7, 24, 66 or 65 are required.
Position Summary:
The Compliance Analyst will be responsible for monitoring financial advisor conflicts of interest, providing ongoing training programs, and assisting with general compliance matters.
Qualifications Required:
- 5+ years’ experience in Compliance or Supervision.
- Familiarity with FINRA and SEC rules (broker-dealer and investment adviser).
- Series 7, (securities) Series 24 (general securities), and Series 66 (securities & investment) or 65 (investment).
- Strong verbal and written communications skills.
- Proficient in Word, basic level of knowledge in Excel and PowerPoint preferred.
- Must be detail-oriented, investigative and have the ability to handle a high volume of work independently.
- Patience and good listening skills.
- Advisor-friendly attitude – willingness to work with independent and strong-minded financial advisors.
- Ability to interpret the Written Supervisory Procedures, FINRA manual, FINRA Regulatory Notices, and other publications concerning broker/dealer and investment adviser regulation and best practices.
- Desire to work diligently and patiently with an experienced team of professionals to build and maintain a dynamic and exemplary Compliance environment for a growing independent financial services firm.
Essential Functions:
- Review conflicts of interest and U4 maintenance regarding Outside business activities.
- Design, implement and deliver compliance training programs including reviewing annual priorities and consulting with Supervising Principals and other departments to determine appropriate subject matter.
- Track completion of training programs, including Annual Compliance Meeting, Firm Element CE, IAR CE Requirements, Regulatory CE Requirements, and other training as assigned.
- Update and implement Annual Compliance Questionnaires.
- Update and implement Non-registered fingerprint person questionnaire.
- Administer and monitor Branch Exam Program (does not include the examination itself, although you may be asked to participate in exams periodically).
- Conduct home office branch exam and assist the CCO with compliance testing.
- Investigate and report (4530 filing, U4 amendments) Customer Complaints.
- Coordinate with Supervision to document Special Supervision plans and monitor compliance with the plan.
- Email Review Monitoring (Quarterly reports to see that review is complete timely).
- Assist with data gathering and production for regulatory and legal inquiries.
- Assist in creation and distribution of Compliance Communications and Written Supervisory Procedures.
- Special projects and other duties as assigned.
