Associate Compliance Officer, Broker Dealer and RIA

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International Assets Advisory, LLC

Associate Compliance Officer, Broker Dealer and RIA

Orlando, FL
Full Time
Paid
  • Responsibilities

    Job Description

    Job Description

    We are looking for an Associate Compliance Analyst to support the broker-dealers’ Chief Compliance Officer (CCO) and compliance team. The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance program reporting directly to the Broker-Dealer’s Chief Compliance Officer and supporting our affiliated SEC Registered Investment Advisor compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedure

    Responsibilities

    • Review of the sales and trading activities of financial advisors
    • Conduct licensing and registration activities for broker dealer and RIA, including Form U4, U5, Form BR and disclosures.
    • Respond to state registration inquiries
    • Participate in the on boarding of new advisors
    • Track, report and resolve deficiencies related to exception reports
    • Assist in the investigation and resolution of customer complaints and FINRA/SEC inquiries.
    • Responding to clearing firm inquiries
    • Provide monthly and quarterly compliance reports to the CCO
    • Maintain internal records
    • Employee account oversight

    Requirements and Skills

    • FINRA Series 7
    • FINRA 24 or the ability to obtain within 90 days
    • Solid understanding of SRO rules for securities licensing and proficiency in FINRA Gateway
    • Minimum of two years compliance and/or supervisory experience
    • Strong knowledge of financial services industry and products and services
    • Ability to prioritize and multi-task
    • Outstanding organizational and time management skills
    • Excellent verbal and written communications skills
    • Deadline and detail-oriented
    • Aptitude for analysis, investigation and problem solving
    • Strong proficiency in office programs, with particular emphasis on Excel

    Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.