Responsibilities:
- Assist in monitoring the activities of registered representatives and the firm.
- Track regulatory updates and recommend enhancements to business unit procedures and the company's compliance programs to the Chief Compliance Officer (CCO).
- Collaborate with all institutional and insurance business units to identify key risks and provide timely, thoughtful compliance guidance across various business lines.
- Evaluate the current trade surveillance program to identify improvement opportunities, enhancing efficiency and ensuring compliance with regulatory requirements and industry best practices.
- Apply Reg BI and Suitability standards in reviewing annuity applications.
- Review and approve marketing materials for both institutional and customer use.
- Research and provide guidance on training requirements based on new or changing industry regulations and related compliance policies.
- Participate in annual and regulatory audits.
- Consult on investment-related, FINRA, and SEC compliance issues as necessary.
- Assist with special projects, ad hoc assignments, and other compliance-related matters as directed by the CCO.
Education and Experience:
- 4+ years of relevant compliance experience in an investment or trading firm; investment advisor experience preferred
- Series 7, 24 licenses required
- Understanding of the 1933 & 1934 Act, Investment Advisors Act of 1940, and FINRA, SEC, MSRB and DOL regulations
- Experience working with My Compliance Office and Global Relay
- Bachelor's degree required
- Experience with institutional firms and trade desk and annuity compliance preferred
Benefits:
- Continued professional growth and hands-on learning opportunities
- Excellent company culture
- Voluntary benefits options including identity protection, pet insurance, accident insurance and more
- Free snacks options
- Flexible PTO policy
- Happy Hours in-office, baseball games, yoga classes and more company outings
- 401k program
- Paid parental leave
- On-site gym membership - compensated by the firm
