Employee Benefits Account Manager - Agency / Broker - REMOTE

Work At Home Vintage Experts; Buxton (ND); Remote; USD 70,000 - 110,000; Full time

Job summary

An established industry player in financial services is seeking a skilled Compliance Consultant to enhance their team. This role involves working closely with broker-dealer clients, assisting them through regulatory examinations, and ensuring adherence to compliance standards. The ideal candidate will have a strong background in regulatory compliance, excellent communication skills, and the ability to build relationships within the industry. Join a dynamic team that values integrity and compliance excellence, and contribute to the success of a firm dedicated to delivering top-notch financial services.

Qualifications

• 5+ years of experience in Broker Dealer Regulatory Compliance.
• Strong understanding of FINRA rules and compliance requirements.

Responsibilities

• Assist clients with regulatory examinations and inquiries.
• Write and maintain compliance manuals and procedures.
• Conduct branch office inspections and firm reviews.

Skills

Broker Dealer Regulatory Compliance

Analytical Skills

Interpersonal Skills

Communication Skills

Attention to Detail

Organizational Skills

Education

Bachelor's Degree

Job description

A financial services firm in New York City is currently seeking an experienced Compliance Consultant to join their growing team as their new Associate Director - Broker Dealer Compliance.

Responsibilities :

1. Work closely on compliance matters with client personnel
2. Assist broker-dealer clients through regulatory examinations and respond to regulatory inquiries
3. Write, edit, and maintain procedures manuals including WSPs, AML Programs, Training Plans, etc.
4. Conduct firm reviews and mock examinations
5. Deliver annual compliance meetings
6. Serve as registered Chief Compliance Officer for the firm's broker-dealer (BD) clients in limited circumstances
7. Create BD and client relationships via networking with our clients and contacts
8. Conduct branch office inspections
9. Perform other duties, as needed

Qualifications

1. 5+ years relevant experience in Broker Dealer Regulatory Compliance
2. Bachelor's Degree
3. Detailed knowledge of FINRA rules and Broker Dealer Compliance
4. Series 7 & 24 licensed required; or must be willing and able to obtain FINRA Series 7 & 24 registrations within 1 year of hire
5. Strong understanding of the Investment Banking and Institutional Brokerage business
6. Solid analytical and research skills
7. Great interpersonal skills
8. Excellent communication skills (written and verbal)
9. Strong attention to detail
10. Highly organized

Desired Skills :

• Knowledge of the Investment Advisers Act of 1940