Compliance Officer
The Compliance Officer supports the Firm in the development and implementation of activities designed to promote compliance with applicable securities regulatory authorities including, but not limited to, SEC laws and rules and FINRA rules and regulations.
Responsibilities
- Assess and dispose of customer complaints.
- Assist in the execution of registration activities of broker dealer.
- Assist in the development and implementation of Firm’s policy documents.
- Communicate to associated personnel changes in policy documents and regulatory environment.
- Review of communications, including electronic.
- Review internal / external agreements.
- Conduct compliance monitoring / surveillance activities.
- Assist in the execution of the training program of broker dealer.
- External Audits
- Assist in external reviews conducted to the broker dealer, regulatory included, as a liaison and subject matter expert.
- Assist in the production of information / documentation pertaining to regulatory requests (routine, for cause, etc.).
- Work in coordination with outside consultants and legal counsel as needed.
- Oversee the implementation of corrective actions by the business as needed, for a full and timely completion.
- Internal Reviews/Audits
- Assists in the review and approval of annual compliance forms and certifications.
- Assists in the execution of internal reviews / audits as needed.
- Works with supervision team to set guidelines for communications with customers and the public.
Qualifications
- Bilingual in English and Spanish. Portuguese is a plus.
- Bachelor’s degree in business administration with a concentration in Finance or related field.
- Minimum of four (4) years of work-related experience.
- FINRA Series 7 and 24.
- Ability to work in a team environment, self-motivated and research capabilities.
- Proactive, Detail oriented and organized.
- Proficiency in MS Office (Word, Excel and Power Point).
- Excellent written and verbal communication skills.