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CURRENT OPPORTUNITIES - LOS ANGELES

Senior Compliance Officer

Position Summary

The Senior Compliance Officer assists the Chief Compliance Officer with all compliance activities related to the firm’s limited purpose broker dealer and two affiliated registered investment advisors. 


Primary Responsibilities

  • Administer broker dealer’s compliance program; assist in administering investment advisors’ compliance program
  • Create, revise and implement compliance policies and procedures
  • Prevent, detect and resolve compliance issues
  • Review and approve advertising materials for affiliated entities
  • Manage and monitor the broker dealer’s and registered representatives’ registration status and continuing education requirements, and manage firm element training
  • Review and monitor personal securities trading and code of ethics issues
  • Review registered representatives’ email and other correspondence
  • Conduct broker dealer supervisory control reviews; occasional travel required
  • Prepare and file required regulatory reports
  • Administer the firm’s Business Continuity Plan (BCP)
  • Other projects and responsibilities as directed by the Chief Compliance Officer and Senior Management

Qualifications

  • 7+ years securities industry experience with a minimum of 2 years broker dealer compliance experience; investment advisor experience is a plus
  • Solid understanding of securities industry regulatory requirements
  • Firm grasp of fixed income markets including private funds and derivatives products
  • Highly organized with focused attention to detail and in-depth research skills
  • Excellent oral and written communication skills
  • Strong interpersonal and relationship building skills; a respected a team player
  • Bachelor's Degree is required
  • Series 7 license is preferred

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