Associate Compliance Officer

Prime Capital Financial; Overland Park (KS); On-site; USD 75,000 - 120,000; Full time

Job summary

Prime Capital Financial seeks an Associate Compliance Officer to lead examinations of branch offices, conduct client file reviews, and evaluate investment recommendations. You will gather data from Salesforce, ACA ComplianceAlpha, and Orion, and work with advisors to implement improvements.

Ideal candidates hold relevant licenses and 3+ years in financial services compliance, with up-to-date knowledge of SEC/FINRA rules.

Qualifications

• Associate’s or Bachelor's Degree required.
• 3+ years of financial services supervisory/compliance experience.
• 5+ years preferred.

Responsibilities

• Conduct on-site and off-site branch office reviews across 70+ locations.
• Compile pre-audit documentation from internal systems.
• Coordinate with broker-dealers for examinations at dually-registered locations.
• Perform quarterly client file reviews and assess sales practices.
• Review investment recommendations and transactions for governance and supervision.

Skills

Regulatory knowledge

Attention to detail

Communication skills

Team supervision

Education

Bachelor’s degree or higher in finance or related field

Industry licensing (Series 65/66 or CFP/ChFC/PFS/CFA/CIC)

Tools

Salesforce

ACA ComplianceAlpha

Orion Advisor Tech

Google Suite

Microsoft Suite

Adobe

Job description

Objectives: The Associate Compliance Officer is an integral part of our Compliance Department. The Associate Compliance Officer will primarily be responsible for conducting onsite and offsite branch office examinations/reviews, quarterly client file reviews, and quarterly reviews of investment recommendations and transactions.

Primary Responsibilities

• Conduct onsite and offsite (remote) branch office reviews on approx. 70+ locations on an annual basis.
• Compile pre-audit documentation from all internal systems like Salesforce, ACA ComplianceAlpha, and Orion Advisor Tech (“Orion”), including conducting Google searches on the members of each office location for branch office reviews.
• Work with advisors and associates in the off-site offices on any corrections that need to be made from the branch examination process.
• Compile and maintain a list of deficiencies to discuss with our designated Compliance Officer in order to determine if process updates or policy changes are needed to make it easier for advisors to stay compliant.
• Incorporate SEC exam priorities into our examination material each year, as needed.
• Coordinate with broker-dealers when they conduct their reviews of our dually-registered locations.
• Conduct quarterly client file reviews (assessing our sales practices) and share results with our Chief Compliance Officer.
• Conduct a quarterly review of certain investment recommendations and ongoing transactions (governance and supervision) and share results with our Chief Compliance Officer.
• Help our Compliance Department with developing training for & \" best practices; on new procedures and policies to help existing advisors and associates stay compliant.
• Be the point person for nearly 100 client service support team members who are currently in our office locations throughout the country.
• Be another trusted resource for when other compliance department members are out.
• Other duties as assigned.

Key Areas and Responsibilities

• Conducting and managing multiple examinations
• Supervision in a large investment advisory firm
• Financial industry terminology and standards
• SEC, FINRA, and other relevant regulatory rules and regulations
• Our firm’s Policies and Procedures and Code of Ethics
• Our firm’s compliance technology stack, including Salesforce, ACA ComplianceAlpha, and Orion
• Working in a fast-paced environment with attention to detail
• Commitment to service excellence
• Problem solving and resolution

Education/Experience

• Associate’s or Bachelor's Degree required
• 3+ years of financial services industry supervisory/compliance experience required
• 5+ years preferred
• Google Suite, Salesforce, Microsoft Suite, Adobe skills required
• persons who are also proficient with ACA ComplianceAlpha and Orion are preferred
• Industry examination/licensing/registration is required for this position [Series 65, Series 66, or currently holds one of the following professional designations: Certified Financial Planner (CFP), Chartered Financial Consultant (ChFC), Personal Financial Specialist (PFS), Chartered Financial Analyst (CFA), Chartered Investment Counselor (CIC)]
• Persons also currently holding Series 24 (in addition to the aforementioned requirement) are preferred
• Available to travel up to 33% of the time
• Successful completion of industry-standard background screening is required