This position will support the Chief Compliance Officer (CCO) in all matters related to the filing, systems, maintenance, monitoring, and ongoing regulatory compliance, including the development and monitoring of the company’s compliance program. This position will coordinate and complete daily as well as on-going projects based on the operational needs of the company and is responsible for leading projects from start to finish while tracking and adhering to project deadlines.
- Handle front-line tasks, such as complaint resolution, signature requests, review and approval of account documentation, and any applicable escalated issues.
- Execute compliance program testing of policies and procedures.
- Assist with the review and resolution of all internal audits, including follow up as needed.
- Conduct periodic audits of Salesforce data to ensure key fields or areas are updated as required.
- Review and/or audits marketing materials and presentations.
- Create, distribute & maintain compliance documents and/or acknowledgments.
- Perform third-party vendor and client due diligence procedures.
- Monitor and track designation renewals for Advisors.
- Handle personal account and transaction reviews.
- Ensure that Form U4 (Uniform Application for Securities Industry Registration or Transfer) registration filings are completed and updated.
- Initiate and complete custodian access and rep code set up.
- Schedule and hold staff training and meetings to ensure compliance and standards are being met.
- Bachelor’s degree required (Business, finance, or similar major preferred).
- Prior compliance experience and knowledge of SEC and FINRA rules required.
- Some prior financial planning experience or the financial services industry knowledge preferred.
- Experienced user of Fidelity Wealthscape, TD Ameritrade Institutional VEO, or Charles Schwab Institutional preferred.
- Salesforce CRM experience is a plus.
- Must be able to multitask, prioritize fluctuating workloads, manage time and handle multiple demands as well as competing priorities.
- Ability to work independently and take initiative.
- Keen attention-to-detail.
- Solid understanding of compliance subject matter, strategy, and alignment of resources.
- Strong communication skills (verbal and written).
- Proficient in Microsoft Word, Excel, and Outlook.
Candidates should submit a resume to firstname.lastname@example.org.