As a member of the Compliance team, team member will maintain our compliance with Firm and regulatory policies as it pertains to the activities of Registered Representatives and Investment Advisor Representatives through ongoing and tarted reviews. Team member will report to the Chief Compliance Officer of our Registered Investment Advisor.
Responsibilities
- Coordinate trade and suitability supervision for over 100 Registered Representatives and Investment Advisor Representatives.
- Implements and enforces systems, policies, and procedures.
- Executes remote branch office exams on a periodic basis.
- Through audit testing, identify issues and implement risk mitigation measures.
- Conduct field office training to cultivate compliance and other various duties as assigned.
Skills
- Process management - has the ability to construct and follow procedures in an efficient and documented manner. Bachelor's degree in finance, economics, or a related field; advanced degree preferred
- Conflict resolution - has the ability to communicate effectively with advisors to discuss and resolve outstanding issues and concerns.
- Strong knowledge of financial modeling, underwriting, credit analysis, and risk analysis techniques
- Prioritization - has the ability to set priorities and create efficient workflows.
Education, Experience & Qualifications
- Bachelor's degree in finance, economics, or a related field; advanced degree preferred
- Series 65 or Series 66 license; Series 7 license; Series 63 license; Series 24 license.
- At least 4 years of relevant industry experience with recent compliance, and/or risk management experience.
- Experience communicating with financial advisors.
- Detail-oriented with the ability to collect and analyze large sets of data accurately
- Exceptional written and verbal communication skills
Note: The above job description is not exhaustive and may be subject to change based on organizational needs.
Job Type: Full-time
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
Schedule:
Ability to Relocate:
- Grand Rapids, MI 49512: Relocate before starting work (Required)
Work Location: In person