Senior Compliance Analyst Senior Compliance Analyst …

Parsonex Securities
in Denver, CO, United States
Permanent, Full time
Be the first to apply
$60,000 to $90,000
Parsonex Securities
in Denver, CO, United States
Permanent, Full time
Be the first to apply
$60,000 to $90,000
Posted by:
Jessica Lankes • Recruiter
Posted by:
Jessica Lankes
Recruiter
Growing boutique Broker Dealer/ RIA in Englewood, CO is looking for a compliance professional to join our team. This role is critical to the overall compliance initiatives of our firm and requires an experienced compliance professional with a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives. We are looking for a team player that enjoys a small office environment and will contribute to our dynamic culture.

Primary Functions:

Assist CCO in administering and operating day to day broker-dealer and RIA compliance programs.

Develop, train and administer the programs that assure the activities of Registered Personnel and Associated people comply with all applicable laws, regulations and company compliance rules

Responsible for the processes associated with and the supervision of registered representative and investment advisor representative registration and licensing, outside business activities, and outside accounts.

Supervise the daily review and approval of communications intended for public distribution or viewing. Answer questions from financial advisors, branch managers, and others pertaining to the submitted materials and required changes, if required. Oversees, manages and reviews e-mail and social media review system.

Conducts representative and branch compliance audits, recommending appropriate corrective action.

Assists in maintaining and updating as necessary, Written Supervisory Procedures, Anti-money Laundering Program and Business Continuity Plan. Create policies and procedures relevant to applicable rules, standards, and best practices. Provide interpretation and guidance to internal associates on questions related to the firm's compliance policies and procedures. Assist in the creation of other compliance policies and procedures as required. Conduct applicable testing and assist in developing reports.

Review and approval of account documentation and suitability review of securities transactions.

Manage and facilitate Managing Broker Dealer activities including Selected Dealer/Selected RIA compliance and relations and Product Due Diligence 

Qualifications:

Bachelor’s degree preferred

Minimum 5 year direct experience in Broker-Dealer Compliance focusing on private equity funds, mutual funds and variable annuities

Licenses: Active Series 7 & 24 required

Series 65, Series 66, or CFP preferred

Advanced proficiency with Microsoft Office products and Google Suite for Business required

Experience with the ORION Advisor platform and Charles Schwab Institutional is highly desirable

More Jobs Like This
See more jobs
Close
Loading...
Loading...