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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