We are currently partnered with a growing Register Investment Advisor/Broker Dealer looking to add to their compliance team. The Compliance Principal will support compliance operations and provide analytic support within a financial institution.
Compliance Principal Essential Responsibilities:
- Manage compliance systems, documents, reports, and forms.
- Oversee Code of Ethics, proxy voting, custody, portfolio compliance, and regulatory filings.
- Support SEC audits, regulatory reports, and marketing materials.
- Review monthly reports for compliance.
- Update CRD registrations for advisors and representatives.
- Assist with ADV preparation and maintain ADV 2Bs annually.
- Review Personal Securities Accounts and issue 3210/407 letters.
- Maintain compliance elements of the Electronic Communication platform.
- Implement the Firm Element Continuing Education program.
- Communicate policy violations to the CCO.
- Troubleshoot and resolve compliance issues.
Compliance Principal Qualifications:
Education & Licenses
- Bachelor's degree and industry education.
- Strong writing and communication skills.
- FINRA Series 7 and 24 (other licenses as needed).
Experience
- 4+ years in compliance and supervision within financial services, preferably at an RIA.
Knowledge & Skills
- Advanced knowledge of SEC and FINRA regulations.
- Understanding of securities products, including insurance.
- Familiarity with Regulation Best Interest, DOL Rule, and Marketing Rule.
- Strong communication, analytical, and problem-solving skills.
- Ability to work independently and maintain confidentiality.
- Proficient in Microsoft Office Suite.