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
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