Title: Compliance Assistant (920-4)
Location: Los Angeles
Compensation: Commensurate with experience
Summary/Responsibilities:
We are seeking a detail oriented, hardworking Compliance Assistant with the skills and enthusiasm to thrive in our dynamic environment. This person will:
Maintain heavy compliance calendar for upcoming filings/key tasks
Track workflow and open projects and report progress to CCO
Assist CCO in drafting compliance policies to ensure policies remain up to date for any regulatory changes
Send training reminders to staff and track completion of any mandatory training
Work with other departments to edit and reconcile documents/policies as needed
Stay abreast of ever changing advertising regulations/industry standards
Facilitate review of personal trading statements/pre-clearance reports to ensure compliance with company policy
Review/track responses to periodic client questionnaires/monthly compliance questionnaires from staff
Facilitate review of company emails to ensure compliance with regulatory requirements
Assist in production/completion of the annual CCO reviews
Assist in updating/monitoring ongoing regulatory filings/registrations
Keep updated on relevant SEC/NFA/CFTC developments and industry best practices
Requirements:
Bachelor’s degree and related industry experience
Superior attention to detail
Ability to effectively multi-task/manage deadlines, learn complex concepts quickly in a fast-paced environment
Advanced proficiency in MS Office applications and internet use
Knowledge and understanding of industry rules/regulations
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Justin Ramos
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x 108
jramos@brokerageconsultants.
www.brokerageconsultants.com
Location: Los Angeles
Compensation: Commensurate with experience
Summary/Responsibilities:
We are seeking a detail oriented, hardworking Compliance Assistant with the skills and enthusiasm to thrive in our dynamic environment. This person will:
Maintain heavy compliance calendar for upcoming filings/key tasks
Track workflow and open projects and report progress to CCO
Assist CCO in drafting compliance policies to ensure policies remain up to date for any regulatory changes
Send training reminders to staff and track completion of any mandatory training
Work with other departments to edit and reconcile documents/policies as needed
Stay abreast of ever changing advertising regulations/industry standards
Facilitate review of personal trading statements/pre-clearance reports to ensure compliance with company policy
Review/track responses to periodic client questionnaires/monthly compliance questionnaires from staff
Facilitate review of company emails to ensure compliance with regulatory requirements
Assist in production/completion of the annual CCO reviews
Assist in updating/monitoring ongoing regulatory filings/registrations
Keep updated on relevant SEC/NFA/CFTC developments and industry best practices
Requirements:
Bachelor’s degree and related industry experience
Superior attention to detail
Ability to effectively multi-task/manage deadlines, learn complex concepts quickly in a fast-paced environment
Advanced proficiency in MS Office applications and internet use
Knowledge and understanding of industry rules/regulations
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Justin Ramos
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x 108
jramos@brokerageconsultants.
www.brokerageconsultants.com
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