Conduct suitability review of new business and provide compliance oversight of registered representatives.

Responsibilities

  • Conduct and oversee account reviews for client’s best interest.
  • Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.
  • Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.
  • Review calls and call reports for quality and adherence of business guidelines.
  • Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
  • Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.
  • Assist with the regulatory requirement of advisory annual reviews.
  • Assist with licensing and registration.
  • Email and correspondence review.
  • Perform special supervisory reviews as assigned.

 

Qualifications

  • Bachelor’s degree in finance or business-related field, or equivalent work experience.
  • Two years of suitability or best interest review experience, investment sales supervision, or similar work.
  • FINRA Series 6 or 7
  • FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
  • Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
  • Strong written and verbal communication skills.
  • Analytical and decision-making skills.
  • Attention to detail.
  • Proficiency using MS Office (Word, Excel).

 

Working Conditions

  • Office environment. 

 

Compensation

The salary for this position generally ranges between $55,000 - $65,000 annually/per hour. Please note that the salary range is a good faith estimate for this position and actual starting pay is determined by several factors including qualifications, experience, geography, work location designation (in-office, hybrid, remote) and operational needs. Salary may vary above and below the stated amounts, as permitted by applicable law.

Additionally, this position is typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at the Company’s discretion.