Compliance Officer
Core
Administering core compliance programs, regulatory filings, and surveillance for a FINRA-member broker-dealer serving independent financial advisors.
Role type
Associate/Senior Associate Compliance Officer
Builds
Regulatory compliance framework and operational efficiency for alternative investment platforms
Domain
Financial Services / Broker-Dealer / Alternative Investments
Deliverable
client delivery
Required skills
FINRA rules knowledge, regulatory filing management, employee compliance monitoring, electronic communications surveillance, marketing materials review, policy implementation, branch examination support
Preferred skills
SEC marketing rules understanding, public/private funds compliance knowledge
Technologies
FINRA Firm Gateway, Form U4/U5 systems, compliance monitoring platforms
Responsibilities
Handle FINRA registration processes and regulatory filings; Administer employee compliance and personal trading activities; Manage compliance systems and resolve matters; Conduct routine surveillance of electronic communications; Review marketing materials for compliance; Support compliance framework enhancements; Participate in branch examinations and due diligence reviews
Seniority
Associate/Senior Associate, hands-on IC