I am with BCI and was curious if you or someone from your network might be interested in this opportunity:
Title: Compliance Coordinator (0764-006-811)
Location: Sarasota, FL
Compensation: Commensurate with experience
Summary/Responsibilities:
Responsible for the critical review of marketing materials created by third parties
Assist in the creation/maintenance of files required to be kept compliant with regulatory requirements
Perform branch office examinations
Establish workflows and document procedures
Serve as a primary resource for responding to compliance questions internally and in support of field offices
Assist in the creation, maintenance and enforcement of firm policies/procedures
Maintain the CRD and IARD databases
Assist in the gathering of internal information in response to regulatory requests
Create/deliver internal training programs
Requirements:
Minimum 1 year experience with broker-dealer and/or RIA related paperwork
Series 7, Series 24, Series 65, (or equivalents); or the willingness to get them within an agreed upon period of time
Working knowledge of back office systems and books and records retention requirements for investment advisors and broker dealers.
Organizational/time management skills sufficient to prioritize workload, handle multiple tasks and meet deadlines
Ability to execute instructions and request clarification when necessary
Excellent attention to detail and follow-up
Excellent interpersonal skills to work effectively with staff at all levels
Ability to travel
Ability to maintain flexible work hours as overtime may be necessary
Proficient in Microsoft Office products
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
Title: Compliance Coordinator (0764-006-811)
Location: Sarasota, FL
Compensation: Commensurate with experience
Summary/Responsibilities:
Responsible for the critical review of marketing materials created by third parties
Assist in the creation/maintenance of files required to be kept compliant with regulatory requirements
Perform branch office examinations
Establish workflows and document procedures
Serve as a primary resource for responding to compliance questions internally and in support of field offices
Assist in the creation, maintenance and enforcement of firm policies/procedures
Maintain the CRD and IARD databases
Assist in the gathering of internal information in response to regulatory requests
Create/deliver internal training programs
Requirements:
Minimum 1 year experience with broker-dealer and/or RIA related paperwork
Series 7, Series 24, Series 65, (or equivalents); or the willingness to get them within an agreed upon period of time
Working knowledge of back office systems and books and records retention requirements for investment advisors and broker dealers.
Organizational/time management skills sufficient to prioritize workload, handle multiple tasks and meet deadlines
Ability to execute instructions and request clarification when necessary
Excellent attention to detail and follow-up
Excellent interpersonal skills to work effectively with staff at all levels
Ability to travel
Ability to maintain flexible work hours as overtime may be necessary
Proficient in Microsoft Office products
If you are interested in this opening, please email us a copy of your resume as an MS Word attachment.
Thank you,
Zach Stierhoff
BCI - Financial Services Recruiting
10 S. Wacker Dr., Suite 1250
Chicago, IL 60606
312-460-8111 x102
zach@brokerageconsultants.com
www.brokerageconsultants.com
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