The Compliance Principal will leverage their experience in compliance, technology, or operations within a financial institution to support compliance operations and provide analytical oversight across the firm.
Compliance Principal Key Responsibilities:
- Manage compliance systems, reports, manuals, and documents for regulatory reviews.
- Oversee compliance with the Code of Ethics, proxy voting, custody, portfolio compliance, and filings.
- Assist with SEC audits, regulatory reports, amendments, and marketing material reviews.
- Conduct compliance reviews of monthly reports, such as branch bank statements.
- Update CRD registrations for advisors and representatives as needed.
- Support the CCO with ADV preparation and annual ADV 2B maintenance.
- Monitor personal securities accounts and issue 3210/407 letters.
- Manage compliance aspects of the Electronic Communication platform.
- Help implement the Firm Element Continuing Education program.
- Collaborate with supervision to address policy violations and resolve compliance issues.
Compliance Principal Qualifications:
- Bachelor's degree required.
- Strong communication skills.
- FINRA Series 7 and 24 licenses (additional licensing may apply).
- 4+ years in compliance or supervision within financial services (RIA experience preferred).
- Proficiency in SEC and FINRA regulations, securities, and insurance products.
- Familiarity with regulations such as Reg BI, DOL Rule, and the Marketing Rule.
- Strong analytical, problem-solving, and decision-making skills.
- Ability to work independently and maintain confidentiality in a team setting.
- Skilled in Microsoft Office and operational platforms.
