Address
Form of workDescription:
About This Position:The Securities Compliance Department of two Broker-Dealers and Registered Investment Adviser has an opening for a compliance professional to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, and conducting compliance testing to identify and manage regulatory risk.
This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.
Responsibilities & Qualifications
Essential Duties and Responsibilites:
Required Qualifications:
Preferred Qualifications:
Essential Duties and Responsibilites:
- Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealer and registered investment adviser.
- Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement.
- Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities.
- Create training that may include in person training or written training such as bulletins and publications.
- Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.
- Coordinate with business units to create and modify policies and procedures to achieve compliance with regulatory requirements.
- Work with the business units to validate corrective action plans are completed and working as designed.
- Responsible for working with all the different business units to ensure corrective action plans are completed accurately and timely.
- Complete ad-hoc testing to validate corrective actions plans to ensure the corrective action plans are effective.
Required Qualifications:
- Bachelor's Degree
- FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
- Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
- Ability to function independently as well as well as cooperatively
- Ability to perform assigned tasks within the specified time frames and meet quality expectations
- Ability to conduct research and provide management with proposed solutions
- Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
- Excellent Word, PDF, Excel, and PowerPoint skills
- Excellent analytical, research, and writing skills
- Excellent interpersonal relationship skills
- Excellent verbal and written communication skills
Preferred Qualifications:
- MBA, Juris Doctorate or other advanced degree
- 2-5 years of experience in the financial services industry
- Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
- Strong working knowledge and understanding of US securities laws and regulations
- Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc.
- Comprehensive understanding of mutual funds, annuities and/or advisory products
Similar Jobs
Commercial Litigation Counsel
Fortna, Inc.
Atlanta, GAFull Time
Counsel, Customer Contracts
Flexport, Inc.
Atlanta, GAFull Time
Associate Attorney - Commercial
Catalis
Atlanta, GARemote
Senior Legal Counsel
PrimeRevenue, Inc.
Atlanta, GAFull Time
Product Counsel
Hiscox, Inc.
Atlanta, GAFull Time
Corporate Counsel - Cybersecurity & Data Lifesp...
Intuit, Inc.
Atlanta, GARemote
Commercial Counsel (IP, Product, Commercial)
Flexport, Inc.
Atlanta, GARemote
