Compliance Officer

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Name & Job Title:

Compliance Officer

Job Description: Helps to ensure the RIA functions in a legal and ethical manner while meeting its business goals

Job Requirements:

· FINRA Series 65 (or 66) required, or ability to obtain in an expeditious manner; Series 7, 24 desired

· 3-5 years’ experience in a compliance role, preferably in the financial services industry

· Highly organized with strong attention to detail and the ability to multi-task several projects

· Ability to effectively communicate and have a solid understanding of compliance in the financial services industry

General Responsibilities:

· Assist the CCO in maintaining and executing the firm’s compliance program, including maintaining necessary control systems to investigate and address any violations

· Assist the CCO in managing regulatory audits and responding to regulatory inquiries

· Manage employee affiliations and terminations

· Manage firmwide compliance-related projects and training program, including continuing education

· Review and approve affiliated persons’ paperwork submissions related to advertising, outside business activities, personal trading, political contributions, and social media activity

· Interdepartmental communication and collaboration with the representatives and CSAs, and the accounting, technology and investment management departments to complete compliance-related projects and goals

· Review communication between employees internally and between employees and their clients through Global Relay and MyRepChat

· Review client suitability across applicable paperwork, account settings and permissions, and transactions

· Prepare for and attend committee meetings

· Complete other duties as assigned

Job Type: Full-time

Pay: $60,000.00 - $830,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Employee assistance program
• Flexible schedule
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Professional development assistance
• Retirement plan
• Vision insurance

Schedule:

• Monday to Friday

Ability to Commute:

• Rochester, NY (Required)

Ability to Relocate:

• Rochester, NY: Relocate before starting work (Required)

Work Location: In person