Participates in field market conduct and home office compliance examination to ensure business units and Firms are complying with internal and external rules and regulations.
- Conducts the annual Broker Dealer and Investment Advisor supervisory control audit based on risk classification.
- Conducts Office of Supervisory Jurisdiction and Registered Branch Office market conduct examinations.
- Strict adherence to corporate travel policy is required
- Performs other projects and tasks as assigned
- Responsible for completing all tasks assigned by their deadline while staying within budget.
- Failure to do so may compromise the Firm’s ability to meet regulatory requirements which may result penalties including but not limited to fines, and industry sanctions.
Problem Solving / Complexity
- Ability to multi task and meet multiple project deadlines.
- Requires independent work with guidance from management. Sound judgment and decision-making skills are a must.
- Capacity to coordinate travel and work schedules are required.
- Must manage time well and be flexible while adhering to strict deadlines in a consistently changing work environment.
- 40%-50% Travel
- Attention to detail, organization. Good verbal and written communication skills required
- Must be dependable and trustworthy and able work independently
- Some inductive reasoning and analytical skills required, particularly when working in a remote location
Education & Licensing:
- Bachelor’s Degree
- FINRA Series 7 & 24 required
- 2+ years industry experience
Legal & Compliance