Compliance Officer

InspereX; Delray Beach (FL); Hybrid; USD 90,000 - 140,000; Full time

Job summary

InspereX is seeking a Compliance Officer to partner with the Chief Compliance Officer in meeting regulatory requirements for the firm and its financial representatives. The role focuses on developing and executing the broker-dealer compliance program with strong problem-solving and collaboration.

Qualified candidates may work in Delray Beach, FL, New York, NY, or Chicago, IL, with remote work possible for the right candidate.

Qualifications

• Minimum 5 years of financial services experience in compliance/regulatory roles.
• Bachelor's degree in finance, business, or related field.
• Series 7 required; willingness to obtain Series 24.

Responsibilities

• Partner with the CCO to manage broker-dealer compliance program.
• Lead review of marketing materials for SEC/FINRA standards.
• Maintain the control room functions and conflict reviews.
• Administer AML procedures and training.
• Assist with regulatory reviews, audits, and examinations.
• Develop and deliver compliance training.

Skills

Critical thinking

Problem solving

Regulatory knowledge

Communication skills

Stakeholder collaboration

Education

Bachelor's degree

Series 7 registration

Series 24 registration willingness

Tools

MS Office

Job description

InspereX is digitally transforming how fixed income and market-linked securities are accessed, evaluated, and traded. We are on a journey to build next-generation technology that transforms fixed income and market linked solutions for clients while providing market intelligence and industry expertise. InspereX unites the more than two decades of success in fixed income and market-linked products origination, underwriting, distribution, and education of Incapital with the innovation of Silicon Valley’s 280 CapMarkets and its revolutionary fixed income tech platform, BondNav®.

YOUR ROLE:

InspereX is seeking a Compliance Officer to partner with the Chief Compliance Officer in meeting the regulatory requirements of the firm and our financial representatives through the effective execution of the firm’s broker-dealer compliance program. The ideal candidate will have strong critical thinking and problem-solving skills and can thrive in a collaborative environment. This is a great opportunity for someone who desires to have direct impact within the organization. The Compliance Officer will frequently collaborate with InspereX’s business units to gain an understanding of business goals while managing compliance-related risks and exposure. Additionally, this person will assist with maintaining the firm's policies and procedures, analyzing regulatory changes, enhancing the firm's compliance program, and building out a monitoring and testing program.

The above will be achieved by:

• Collaborating with InspereX’s business units to identify key compliance risks and provide timely, creative, and thoughtful guidance regarding the firm’s compliance policies and procedures.
• Developing and maintaining a broad knowledge and awareness of the investment industry and regulatory and/or policy changes with potential impact on compliance monitoring or reporting.
• Leading the review of institutional and retail marketing materials and channels for compliance with SEC and FINRA content standards and filing requirements.
• Maintaining the firm’s control room function, including the review of employee trading, maintenance of information barriers, restricted list and watch list maintenance, wall-cross requests, and conflict reviews.
• Identifying and interpreting SEC and FINRA rules and regulations to ensure firm’s policies and procedures address regulatory requirements and incorporate industry best practices.
• Participating in and administering various firm committees as the compliance representative, for instance: Client Due Diligence, Best Execution, Risk Management, New Products, and New Business/Commitment committees.
• Developing and administering compliance training annually and on an ongoing basis to educate and engage employees on compliance policies and procedures, including products, ethics, and conflicts of interest.
• Assisting with preparation and execution of the firm’s annual branch office inspection program.
• Managing aspects of the firm’s AML compliance program, including review and maintenance of AML procedures; administer annual AML training; manage annual AML independent audit requests; review alerts generated by screening systems; file AML reports as needed, such as: suspicious activity reports; monthly suppression of terrorism reports, and FinCEN 314(a) reports.
• Engaging in the testing of fixed‐income transactions for compliance with FINRA TRACE and MSRB rules.
• Assisting in regulatory reviews, audits, and other examinations.

YOUR TEAM:

You’ll be working as part of the Legal and Compliance team, ideally located in our Chicago, IL office. Qualified candidates must be able to work in either our Delray Beach, FL office, our New York office, or our Chicago, IL office. R emote work may also be considered for the right candidate. Along the way, we can offer you an exciting, fast-past working environment, a culture of mutual respect and teamwork and the opportunity to play a vital role in our growth.

YOUR EXPERTISE:

• Minimum 5 years of financial services industry experience, preferably in a compliance-related and/or regulatory role and with a FINRA-registered broker-dealer and/or regulator.
• Bachelor’s degree or equivalent in finance, business administration or related field.
• Series 7 (GS) registration required; must be willing to obtain Series 24 (GP) registration as well.
• Self-motivated and assertive professional, with a bias for action, who will take ownership of their work, think strategically, and have good instincts and judgment regarding when to elevate matters and involve others.
• Well organized, detail-oriented, and excellent oral and written communication skills.
• Strong interpersonal skills, with a strong presence and team building skills.
• Strong critical thinking skills with the ability to investigate, research, and resolve problems and concerns.
• Ability to work in a dynamic environment, multi-task effortlessly and manage competing priorities under demanding deadlines.
• Desire and ability to collaborate in a team environment across departments and seniority levels while employing professionalism and collegiality is essential for the purposes of achieving and sustaining the firm’s compliance program goals and objectives.
• High degree of integrity and reliability is a must.
• Discretion and ability to handle sensitive information on a confidential basis are critical requirements.
• Strong working knowledge of fixed income regulations including primary issuance of debt and institutional sales practices is a plus.
• Solid understanding of the securities industry and the regulatory requirements related to registered broker-dealers, including, as needed, FINRA and MSRB rules as well as the Securities Act of 1933, the Securities Exchange Act of 1934 and the rules and regulations thereunder.
• Proficient in MS Office (Outlook, Word, Excel, PowerPoint, Teams)
• Ability to travel for meetings and branch inspections (10-20%)

InspereX is an equal opportunity employer.It complies with all laws and regulations that prohibit discrimination in employment practice because of race, color, religion, creed, ancestry, marital status, gender, age, national origin, sexual orientation, unfavorable discharge from military service, or on the basis of a physical or mental disability that is unrelated to the employee’s ability to perform the duties of the job for which an individual has applied.EOE m/f/d/v