Key skills
Risk ManagementRemote WorkSales
About this role
Role Overview
- Conduct onsite branch inspections to evaluate supervisory systems, branch signage, records, and adherence to firm policies and regulatory requirements
- Provide compliance training to branch staff and business partners to reinforce policies and regulatory obligations
- Draft, review, and update compliance policies and procedures to reflect regulatory changes and best practices
- Review and approve advertising and marketing materials in accordance with FINRA Rule 2210 and firm policies and procedures
- Offer guidance and compliance advice to business partners on day-to-day issues and emerging risks
- Assist in investigating potential fraud, financial exploitation, and elder abuse claims, ensuring timely escalation and resolution
- Collaborate with Supervision, Sales, and other control functions to maintain a strong compliance culture.
Requirements
- Bachelor's Degree or equivalent experience
- Minimum 5 years of experience in compliance, risk management, auditing, or related fields
- Advanced knowledge of securities industry concepts, compliance practices, supervisory frameworks, applicable federal and state regulatory requirements, investment products, and financial markets
- Licenses: Series 7 and 24 or the ability to obtain them within six months of hire.
Benefits
- Health insurance
- 401(k) matching
- Flexible work hours
- Paid time off
- Remote work options
- Incentive compensation eligibility including production, commission, and/or discretionary incentives