Compliance Field Advisor

About the role

We are seeking a Compliance Field Advisor to join our Compliance team to conduct general market conduct, broker/dealer, investment advisor and insurance company compliance examinations. This involves assessing current practices to reaffirm compliance with market conduct standards and SEC, FINRA and MSRB rules and regulations.

Responsibilities

• Prepare written reports of the office examination for compliance and management review
• Develop action plans identifying and addressing areas of potential problems related to company policies and industry regulations
• Aid in the training and development of team members, educating the field force 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, while traveling 75% of the time within your assigned territory
• Work from your home office and the field

Requirements

• College degree or equivalent plus 3 years of broker dealer, investment advisor or insurance compliance experience required
• 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
• Series 66 (or equivalent) preferred
• Must keep current with existing and pending FINRA, SEC and Insurance rules and regulations
• Have working knowledge of Microsoft Office, with a high degree of accuracy in Excel and Word
• Be a self-starter and be able to work under minimal supervision
• Have attention to detail, excellent time management and organizational skills required
• Valid driver's license required (75% travel with overnight stays required)

Qualifications

• Attention to detail, excellent time management and organizational skills required
• Valid driver's license required (75% travel with overnight stays required)

Skills

• Attention to detail
• Excellent time management
• Organizational skills
• Self-starter
• Working knowledge of Microsoft Office, with a high degree of accuracy in Excel and Word

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
• Company cell phone

Pay

• Details TBD

Schedule

• Travel 75% of the time within your assigned territory
• Work from your home office and the field