Review and approve client new and existing account documentation, trading activity, email correspondence and other related security transactions
Conduct suitability review of customer trading activity for direct to fund, brokerage and RIA business by ensuring compliance with all internal procedures and industry regulations
Work closely with vendors to ensure trade is executed in accordance with internal procedures and industry regulations
Analyze trade and exception reports and take appropriate action
Assist in the on-boarding new registered representative and provide on-going operational support
Identify and analyze customer and firm risk, update compliance as necessary
Resolves registered representative concerns by researching details, identifying most efficient method of handling the concern, and evaluating risks to all parties before resolving
Requirements
Bachelor’s degree in business, Finance, or 8 years of proven experience with investments and in the financial services industry.
5-10 years progressively responsible compliance experience within investments/financial services to include detailed knowledge of the trade cycle, securities settlement, standard trading workflows and systems and specific knowledge of SEC, FINRA and state insurance rules and regulations.
FINRA Series 4, 7, 24, 53.
Registrations; Series 63 and 65/66 Registration within 90 days in position.