Compliance Officer – Office Exams

This is a fully remote position, open to applicants in United States.

📋 Description

• Perform regular and for-cause evaluations of branch offices, OSJs, and advisory sites, both in-person and remotely.

• Assess adherence to SEC regulations, including the Investment Advisers Act of 1940.

• Review compliance with FINRA rules, focusing on supervision under Rule 3110 and communications.

• Examine compliance with relevant state regulations.

• Analyze adherence to company policies and written supervisory procedures (WSPs).

• Conduct tests and reviews of sales practices, suitability, advertising and communications, books and records, outside business activities and private securities transactions, fee billing and advisory practices, cybersecurity measures, and safeguarding client information, alongside firm policies and procedures.

• Raise any findings or possible violations to the compliance leadership team.

• Document examination results, risk impact evaluations, and recommended remediation strategies.

• Prepare and disseminate reports on examination findings.

• Monitor remediation activities and coordinate with business partners to ensure prompt resolution.

• Maintain precise examination records, findings reports, and supporting documentation.

• Assist in enhancing examination processes, checklists, and risk-based methodologies.

• Detect trends or recurring issues and contribute to improving policies, procedures, and training.

• Aid in SEC, FINRA, and state regulatory examinations by collecting documentation and addressing requests.

• Report directly to the Executive Director of Compliance Review.

⛳️ Requirements

• 3–5 years of experience in compliance, supervision, audit, or a comparable role within a broker-dealer or RIA.

• Proficient understanding of SEC and FINRA regulations, especially regarding branch supervision and office inspection standards.

• Experience in conducting compliance testing, audits, or office examinations is preferred.

• FINRA licenses (e.g., Series 7, 24, 65/66) are preferred or a willingness to obtain them.

• Capability to independently analyze issues and requirements with a solid grasp of business practices.

• Must be responsive and proactive, able to work independently or collaboratively as needed.

• Must be a U.S. citizen, U.S. permanent resident, or possess other unrestricted U.S. work authorization.

• Will not necessitate sponsorship for U.S. work authorization now or in the future.

🏝️ Benefits

• Coverage for medical, dental, and vision insurance starting on the first day of employment.

• Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver).

• Flexible PTO plan.

• 401k matching plan.

• HSA employer contributions.

• Student loan assistance.

• Pet insurance.

• Discretionary bonus.