Current Opportunities
Compliance Specialist
Currently we are seeking a results-driven individual to work in our Compliance Department. The position ensures everyone is in compliance with the rules and regulations of regulatory agencies, BD and Focus Financial’s policies and procedures are being followed, and that behavior in the organization meets the company’s Standards of Conduct.
RESPONSIBILITIES include, but are not limited to:
- Conduct compliance review of all the securities and advisory transactions conducted by financial advisors.
- Maintain required compliance documentation and records.
- Be a resource for advisors to provide compliance advice/guidance and resolve issues regarding BD securities accounts.
- Correspondence review
- Support advisors with registration
- Develop, coordinate or contribute to advisor training sessions regarding compliance, procedures, best practices, or industry topics.
- Create, initiate, maintain, and revise policies and procedures for the general operation of the Compliance Program.
- Coordinate and review advisor annual compliance disclosures and certifications.
- Provide reports on a regular basis.
- Identify potential areas of compliance vulnerability and risk; develop and implement corrective action plans for resolution of problematic issues.
- Develop, processes and assembles resources necessary to continuously identify and remain current with all compliance requirements of the organization.
- Conduct periodic branch office reviews.
REQUIREMENTS:
- Current Series 7, 65 or 66, 4, and 24 securities registrations are required. Series 53 is preferred.
- A four-year college degree required or 5+ years’ financial services compliance or relevant experience required.
- Previous supervisory, SEC Registered RIA compliance experience and/or training experience is a plus.
- Able to manipulate data in a spreadsheet or database software program.
- Able to read and interpret, firm and broker dealer procedures and policies, and apply them.
- Knowledge of securities compliance rules, policies and procedures required.
- Excellent oral and written communication skills.
- Able to establish and maintain cooperative working relationships.
- Able to deliver a clear and concise message in written form through routine reports, memos, and correspondence.
- Able to prepare clear, sound, accurate, and informative statistical, compliance, and other reports containing findings, conclusions, and recommendations.
- Self directed yet works well with and collaborates with the team.
- Process driven; able to assess a situation, provide a solution and implement.
- Must be detail oriented and organized.
An environment of openness, honesty and friendly people is what makes working at Focus Financial so attractive. We feel people who come from other financial management firms are amazed at our culture and impressed by our benefits package. If this sounds interesting to you, please email your resume, cover letter and salary requirements to: careers@focusfinancial.com
Not a fit for you? We'd still love to hear from you. Send us your resume and letter of interest and we will contact you when something else becomes available.
Send your resume to:
|
