Compliance Officer – Office Exams

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

📋 Description

• Perform routine and for-cause examinations of branch offices, OSJs, and advisory locations, both in-person and remotely.

• Assess compliance with SEC regulations, including the Investment Advisers Act of 1940.

• Review adherence to FINRA rules, focusing on supervision as per Rule 3110 and communications.

• Analyze compliance with relevant state regulations.

• Ensure compliance with company policies and written supervisory procedures (WSPs).

• Conduct testing and review of various practices, including sales, suitability, advertising, communications, books and records, outside business activities, private securities transactions, fee billing, advisory practices, cybersecurity, and the safeguarding of client information, along with firm policies and procedures.

• Report findings or potential violations to compliance leadership.

• Document examination results, risk impact assessments, and suggested remediation strategies.

• Prepare and circulate reports on examination findings.

• Monitor remediation initiatives and liaise with business partners to ensure prompt resolution.

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

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

• Identify trends or recurring issues and provide recommendations to improve policies, procedures, and training.

• Support SEC, FINRA, and state regulatory examinations by collecting documentation and responding to requests.

• Report directly to the Executive Director of Compliance Review.

⛳️ Requirements

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

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

• Preferred experience in conducting compliance testing, audits, or office examinations.

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

• Strong ability to independently analyze issues and requirements while comprehending business practices.

• Proactive and responsive, capable of working independently or collaboratively based on the situation.

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

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

🏝️ Benefits

• Medical, dental, and vision insurance coverage starting on the first day of employment.

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

• Flexible PTO plan.

• 401k matching plan.

• Employer contributions to HSA.

• Student loan assistance.

• Pet insurance.

• Discretionary bonus.