Compliance Specialist

SUMMARY
The Compliance Specialist is responsible for assisting with the implementation and execution of the Broker-Dealer compliance program for the broker dealer(s). This includes, but is not limited to, advertising review, internal and external registered representative supervision, anti-money laundering, and business continuity responsibilities.
KEY ACCOUNTABILITIES
RESPONSIBILITIES

• Performs compliance reviews in accordance with firm policy and applicable regulatory requirements as required.
• Answers client and internal inquiries and helps resolve any issues.
• Conducts various website and internet reviews.
• Assists with departmental projects, annual due diligence review of vendors, agreements, clients, and products, as assigned.
• Assists with regulatory, internal, and third-party audits of Broker-Dealer compliance programs.
• Applies regulatory requirements both internally and to clients of the firm.
• Obtains Series 7 and/or 24 within 12 months.

WORKING RELATIONSHIPS

• Contact as needed with clients regarding general information, resolution of issues, inquiries, or reporting requirements.
• Contact with members of team and internal teams regarding follow-up on inquiries, open workflow, etc.

May perform other duties as required and assigned.
KNOWLEDGE, SKILLS, AND ABILITIES (KSA’s)
KNOWLEDGE

• Securities rules and regulatory requirements.
• Microsoft Office Suite.
• Adobe Acrobat.

SKILLS AND ABILITIES

• Troubleshoots issues utilizing creative and critical thinking skills.
• Multitasking, analytical, and organizational skills.
• Initiative-taking, strategic, and meticulous approaches with a strong commitment to quality, efficiency, and effectiveness.
• Demonstrates personal integrity, responsibility, and accountability.
• Effectively uses resources such as time and information in conjunction with associates.
• Participates in solving problems and making decisions.
• Presents and expresses ideas and information, written and oral, clearly, and concisely.
• Actively listens to others to achieve understanding and supports an open exchange of ideas and information.
• Identifies needs, arranges for, and obtains resources to accomplish individual and department goals.
• Establishes and develops effective working relationships with associates and clientele during both favorable and unfavorable situations.
• Modifies team and individual priorities and deadlines in response to added information, changing conditions, or unexpected obstacles and ensures completion.

EDUCATION AND EXPERIENCE

• Bachelor’s degree in business administration, finance, accounting, or related field.
• 2 years of financial industry experience.
• FINRA Series 6, 7, 26, or 24.
• Experience working in an operations or compliance role.

Equivalent KSA’s, education, and experience will be considered.
Ultimus is an equal opportunity employer and does not discriminate on the basis of the applicant’s or employee’s race, color, religion, national origin, ancestry, gender, sexual orientation, age, disability, veteran or military status, genetic information, citizenship or any other status entitled to protection under federal, state or local anti-discrimination laws. No questions on our employment application are intended to secure information that is to be used for impermissible purposes.