We are representing a financial services consulting firm in the Cleveland, OH area to fill a Senior Compliance Specialist role. This is an exciting opportunity to join a team of active, engaged, and highly sought-after innovative thought leaders with an established business to business advisory firm.
The Senior Compliance Analyst will support the Chief Compliance Officer (CCO) and internal OSJ Principals in managing the daily responsibilities and functions related to the Broker-Dealer Compliance and Supervisory Programs. The Senior Compliance Analyst position will be responsible for a variety of daily, monthly and quarterly surveillance duties, including performing marketing and advertising reviews, assisting with the registration and licensing on-boarding process, participating in the internal and external audit process, assisting with the new client on-boarding process, assisting in email reviews and supporting the training of new and existing registered representatives. The ideal candidate will be able to demonstrate excellent critical thinking and the ability to apply rules and regulations to unique and varied circumstances.
The main responsibilities will include:
- Act as a main compliance contact for associates with compliance related inquiries.
- Take part in the Registered Representative and Non-Registered Fingerprint (NRF) individual licensing/registration on-boarding process, including training the individual on broker-dealer policies and procedures.
- Collaborate with assigned supervisors and company business partners to ensure timely review and approval of various Compliance submissions.
- Perform RR and NRF incoming/outgoing correspondence reviews and Retail Communication reviews
- Perform required broker-dealer email review.
- Monitor the FINRA Web-CRD (Central Registration Depository) account.
- Support the CCO in creating and conducting regulatory compliance tests/surveillance to ensure compliance with various broker/dealer regulatory requirements.
- Assist with administration of the Broker-Dealer’s Branch Audit Program.
- Assist with ensuring control and operational manuals for the Broker-Dealer are maintained for assigned tasks in optimal and standard way.
- Assist with creating and administering Broker-Dealer Continuing Education and Compliance trainings.
- Act as back-up to members of the compliance team.
- Assist the CCO with addressing various SRO, SEC and State Reporting obligations.
- Assist the CCO with SRO (self-regulatory organization), SEC and State inquiries.
- Handle Monthly-Quarterly-Annual projects.
- Coordinate with outside vendors.
- Additional projects and duties as assigned.
Qualifications we are seeking:
- Bachelor’s Degree in Business, Finance or Accounting preferred. Advanced degree (JD or MBA) a plus.
- Series 7 or 62, Series 24 and Series 63 FINRA Licenses required; Series 79 a plus. Will be required to attain all licenses upon hire.
- High level of proficiency with Microsoft Word and Excel, plus experience and knowledge of FINRA’s Gateway.
- 3 – 5 years relevant experience in a broker-dealer and/or RIA compliance environment or related/relevant securities business experience.
- Accountability; Ability to accept responsibility and be accountable for actions and conduct, maintains confidentiality and discretion.
- Proven analytic and time management skills; detail-oriented, quick learner.
- High degree of independent judgment; good problem solving and decision-making ability.
- Self-motivated; Self-starter with ability to make appropriate decisions.
- Team oriented; Positive and professional, able to show consideration for and maintain good working relations with peers, remains opens to others’ ideas and exhibits willingness to try new things.
- Strong communication skills; both written and verbal. High level of expertise required in correspondence both internally and with the various branch offices.
- Exceptional organizational skills; using systematic methods to perform work and creativity to recommend or create new work methods or procedures.
- Ability to multi task; able to complete simultaneous projects and responsibilities with extreme attention to detail according to required timelines and deadlines within a fast-paced environment.
- Experience managing larger scale projects is a plus.
- Ability to travel as needed for branch office audits.
Application Process for Senior Compliance Specialist:
Qualified professionals should submit resume to Heather Smith: firstname.lastname@example.org