Investment Compliance Officer - Salt Lake City, Houston or Charlotte

Responsibilities

• Provide day-to-day compliance support and oversight for the institutional broker-dealer’s capital markets and investment banking activities.
• Review new products, services, and complex transactions for regulatory compliance implications.
• Conduct scheduled monitoring and testing reviews over assigned business line activities in accordance with the compliance and risk program.
• Perform thematic reviews, surveillance analyses, and control effectiveness testing.
• Document findings, root causes, and recommended corrective actions.
• Communicate findings/issues to business line management in a professional manner.
• Interact with business line partners; schedule and conduct monthly meetings.
• Review electronic communications and marketing materials as needed.
• Provide impact analysis of proposed and new regulations and industry enforcement actions.
• Maintain and update compliance policies, desk procedures, and risk assessment documentation.
• Prepare reports for senior management, Compliance leadership, and governance committees.
• Participate in audits and regulatory examinations; coordinate responses and evidence gathering.

Qualifications

• Requires a bachelor’s degree in business, finance or a related field.
• 2-4 years of experience in financial services regulatory compliance, risk management, securities industry, broker-dealer or directly related field.
• FINRA Series 7, 79, and/or 24 are strongly preferred.
• Employee will be required to obtain required FINRA licenses within 12 months of employment.
• Experience with institutional trading, securities underwriting, and investment banking activities preferred.
• Strong Excel skills and experience in data analysis, data mining, or database management is preferred.
• Strong analytical skills with the ability to bring together large amounts of data into succinct reports.
• Excellent verbal and written communication skills and ability to present information to regulators, senior management.
• Ability to interpret regulatory rules and translate them into practical business requirements.
• Strong communicative, analytical, and problem-solving skills with the ability to challenge the business constructively.
• Experience in BSA/AML a plus.
• Self-motivation and the ability to work independently or with team members.

Pay

Competitive compensation in line with work experience.

Schedule

Not specified.