Compliance Officer

Job description

We are looking for a Compliance Officer to ensure that we follow all relevant rules and elevate the culture and policies to the highest, uncompromising ethical standards.

You will review and update compliance policies, supervise and enforce the firm's compliance with regulations and our values.

To succeed in this role, you should be a reliable, courageous professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with risk management and our industry’s standards. If you have a sharp business acumen, a nose for identifying fraud and dishonesty, are driven to improve the lives of others and community, have a nagging feeling that the industry does not measure up to your personal standards, and take pride in your craft, we’d like to meet you.

Your mission will be to ensure we operate in a legal and ethical manner.

Responsibilities

• Improve our compliance program
• Create sound internal controls and monitor adherence to them
• Revise company policies
• Proactively audit processes, practices and documents to identify weaknesses
• Manage a crisis or compliance violations
• Educate and train employees on regulations and industry practices
• Address employee concerns or questions on legal compliance
• Keep abreast of internal standards and business goals

Skills

• Experience as a Compliance Officer or Compliance Manager
• Knowledge of FINRA Broker/Dealer Regulations and SEC RIA Regulations
• Familiarity with industry practices and professional standards
• Excellent communication skills
• Integrity and professional ethics
• Attention to detail
• Candidate must possess at least one of the following licenses or designations: CPA, JD, CCEP or one or more FINRA series 9, 10, 14, 24 licenses