Compliance Officer - Supervisory

Overview

Employer Industry: Financial Services

• Opportunity for career advancement and growth within the organization
• Collaborate with various departments and advisors, enhancing professional network
• Contribute to ensuring compliance with regulatory standards, impacting the organization's success
• Work in a fast-paced environment dedicated to delivering a world-class client experience
• Chance to provide supervisory expertise and consultation on significant projects and initiatives

• Conduct due diligence reviews on prospective representatives to assess their suitability for joining the organization
• Review and evaluate requests for outside business activities and private securities transactions submitted by advisors
• Assess office sharing arrangements to ensure compliance with regulatory requirements
• Review and approve "day one" marketing materials for new offices joining the organization
• Collaborate with advisors, business consultants, and internal departments to communicate compliance determinations effectively

• Minimum of 3-5 years of industry experience
• Must hold FINRA Series 7, Series 24, and Series 63 (or 66) certifications
• Strong attention to detail and excellent problem-solving skills
• Ability to make regulatory and risk-based decisions
• Proficiency in Microsoft applications, particularly Excel, Word, Access, PowerPoint, SharePoint, and Visio

• Background in business, accounting, finance, or related disciplines
• Familiarity with Salesforce and Oracle considered a plus

#Financial Services #Compliance #Career Opportunity #Client Success #Regulatory Standards

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