I am with BCI and was curious if you or someone from your network might be interested in this opportunity:
Title: Compliance Consultant (617-10)
Location: Dallas, TX
Compensation: Commensurate with experience
Summary:
The Compliance Consultant performs a key role in the oversight of Financial Advisors and employees, with a primary focus of overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations.
The Consultant is responsible for performing regulatory branch office inspections to ensure compliance with record-keeping regulations and written supervisory procedures, as well as to review daily blotters, commission records, personnel files and complaints. The Compliance Consultant reviews and approves Advisors’ correspondence, sales literature and advertising materials to ensure it meets applicable FINRA standards. The Consultant is also responsible for reviewing all financial services communications and vendor materials. Projects will be assigned to the Consultant to analyze new regulations, internal policies, and business areas to recommend and implement the appropriate steps to address the issues.
Responsibilities:
All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to the following:
Conducts branch office inspections
Trains Financial Advisors and staff on securities regulations and responds to inquiries on same
Reviews prospective Financial Advisor U4 applications and approves or declines affiliation based on established criteria
Reviews outside activities and monitors personal accounts of Financial Advisors
Oversees Financial Advisor and employee activities to monitor for compliance with various state and federal securities rules and regulations
Monitors, reviews, and approves Financial Advisors’ correspondence and marketing materials
Presents compliance sessions and other training presentations
May contribute articles to compliance bulletins and create other educational training materials for use with Advisors and staff
May help train new employees
May perform special projects, as assigned
Assists other consultants with special projects
Requirements:
College degree preferred
Minimum of two years of compliance experience
Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations
Series 7 - required
Series 24 and/or Series 66 – preferred
Must be able to travel 25% of the time
Must have excellent verbal and written communication skills, along with excellent presentation skills
Must have strong attention to detail and ability to multi-task and prioritize jobs independently.
Must have proficiency in Excel and other MS Office applications
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Jillian Eddy
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x113
jillian@brokerageconsultants.
www.brokerageconsultants.com
Title: Compliance Consultant (617-10)
Location: Dallas, TX
Compensation: Commensurate with experience
Summary:
The Compliance Consultant performs a key role in the oversight of Financial Advisors and employees, with a primary focus of overseeing and monitoring activities for compliance with the various state, FINRA, and federal securities rules and regulations.
The Consultant is responsible for performing regulatory branch office inspections to ensure compliance with record-keeping regulations and written supervisory procedures, as well as to review daily blotters, commission records, personnel files and complaints. The Compliance Consultant reviews and approves Advisors’ correspondence, sales literature and advertising materials to ensure it meets applicable FINRA standards. The Consultant is also responsible for reviewing all financial services communications and vendor materials. Projects will be assigned to the Consultant to analyze new regulations, internal policies, and business areas to recommend and implement the appropriate steps to address the issues.
Responsibilities:
All responsibilities are generally performed on a daily basis, unless otherwise noted. Specific responsibilities include, but are not limited to the following:
Conducts branch office inspections
Trains Financial Advisors and staff on securities regulations and responds to inquiries on same
Reviews prospective Financial Advisor U4 applications and approves or declines affiliation based on established criteria
Reviews outside activities and monitors personal accounts of Financial Advisors
Oversees Financial Advisor and employee activities to monitor for compliance with various state and federal securities rules and regulations
Monitors, reviews, and approves Financial Advisors’ correspondence and marketing materials
Presents compliance sessions and other training presentations
May contribute articles to compliance bulletins and create other educational training materials for use with Advisors and staff
May help train new employees
May perform special projects, as assigned
Assists other consultants with special projects
Requirements:
College degree preferred
Minimum of two years of compliance experience
Must have general knowledge of the FINRA and SEC regulations and general broker-dealer operations
Series 7 - required
Series 24 and/or Series 66 – preferred
Must be able to travel 25% of the time
Must have excellent verbal and written communication skills, along with excellent presentation skills
Must have strong attention to detail and ability to multi-task and prioritize jobs independently.
Must have proficiency in Excel and other MS Office applications
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Jillian Eddy
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x113
jillian@brokerageconsultants.
www.brokerageconsultants.com
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