Compliance Field Advisor

About the role

We are seeking a Compliance Field Advisor to join our Compliance team. The role involves conducting examinations to ensure compliance with market conduct standards and relevant regulatory rules.

Responsibilities

• Prepare written reports of office examinations for compliance and management review
• Develop action plans to address potential problems related to company policies and industry regulations
• Aid in the training and development of team members, educating them on new and existing compliance issues
• Audit the effectiveness of procedural changes
• Provide new supervisor training within the assigned territory
• Assist with the audit workflow and reporting, as necessary
• Create your own schedule, traveling 75% of the time within your assigned territory

Requirements

• College degree or equivalent with 3 years of broker dealer, investment advisor or insurance compliance experience
• FINRA Series 6 (or 7) required at the time of hire, and Series 26 (or 24) preferred
• If not already obtained, Series 7 and 24 are required within 4 months of hire
• Must keep current with existing and pending FINRA, SEC and Insurance rules and regulations
• Working knowledge of Microsoft Office, with a high degree of accuracy in Excel and Word
• Self-starter with excellent time management and organizational skills
• Valid driver's license required (75% travel with overnight stays required)

Qualifications

Attention to detail, excellent time management and organizational skills required.

Skills

• Attention to detail
• Excellent time management
• Organizational skills

Benefits

Enhanced 401K with a match, low cost health, dental, and vision benefits, life and disability insurance options, paid time off, including holidays and volunteer time, and a company cell phone.

Pay

Details TBD

Schedule

Travel 75% of the time within your assigned territory, working from your home office and the field.