Compliance Officer – Electronic Communications Surveillance

This is a fully remote position, open to applicants in North Carolina.

📋 Description

• Evaluate and manage escalated electronic communications identified through the Firm's surveillance program.

• Perform in-depth analyses of potentially inappropriate communications, sales practice issues, conduct problems, and supervisory concerns.

• Collaborate with field leaders, supervisory principals, and Compliance stakeholders to collect facts, evaluate risks, and establish suitable resolutions.

• Assist in overseeing off-channel communications submissions, including the review of repatriated communications and the identification of emerging risks and trends.

• Detect patterns, control deficiencies, and supervisory issues, and escalate matters as necessary.

• Aid in thematic reviews, branch inspection support, and other supervisory initiatives.

• Contribute to surveillance reporting, metrics, and management information.

• Assist in the enhancement of surveillance lexicons, monitoring scenarios, procedures, and controls.

• Offer guidance on regulatory requirements related to electronic communications and supervision.

⛳️ Requirements

• Bachelor's Degree and 5 years of experience OR High School Diploma or GED/Equivalent and 9 years of experience in Compliance, Legal, or Audit.

• FINRA Series 24 license is mandatory.

• 3-5+ years of experience in broker-dealer and/or RIA compliance, supervision, or risk management.

• Experience in conducting investigations, supervisory reviews, or surveillance assessments.

• Familiarity with FINRA communications and supervision requirements, including Rules 2210 and 3110.

• Excellent analytical, organizational, and written communication skills.

• Capability to independently assess risk and apply sound regulatory judgment.

• Preferred: experience in supporting electronic communications surveillance programs within a broker-dealer or dual registrant setting.

• Preferred: prior experience as a supervisory principal.

• Preferred: experience with Global Relay or similar communications surveillance systems.

• Preferred: knowledge of off-channel communications governance and surveillance.

• Preferred: experience in performing trend analysis, reporting, and risk evaluations.

• Preferred: insurance licensing/life & health experience.

🏝️ Benefits

• Competitive, thoughtfully designed benefits program.

• Variable incentives, bonuses, benefits, and/or other awards may be included in total compensation.