Compliance Specialist, External Reps

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

📋 Description

• Assist in the implementation and execution of the Broker-Dealer compliance program.

• Support the supervision of both internal and external registered representatives.

• Conduct compliance reviews in alignment with firm policies and regulatory standards.

• Evaluate registered representative registration and supervision, monitor anti-money laundering efforts, and manage business continuity tasks.

• Travel as necessary for off-site client office examinations.

• Perform website and internet assessments.

• Contribute to departmental projects, which include annual due diligence evaluations of vendors, agreements, clients, and products.

• Assist with audits of Broker-Dealer compliance programs conducted by regulatory bodies, internal teams, and third parties.

• Address client and internal inquiries while assisting in issue resolution.

• Follow up on inquiries and open workflows in collaboration with team members and internal departments.

• Execute additional duties as required and assigned.

⛳️ Requirements

• Bachelor’s degree in business administration, finance, accounting, or a related field.

• Over 2 years of experience in the financial sector.

• Background in an operations or compliance position.

• Possession of FINRA Series 6 and Series 26 licenses.

• Holding FINRA Series 7, Series 24, or the ability to obtain them within 12 months.

• Familiarity with securities rules and regulatory obligations.

• Proficient in Microsoft Office Suite.

• Competent in Adobe Acrobat.

• Equivalent education and experience will be accepted.

🏝️ Benefits

• Flexible remote or virtual work options.

• Potential travel for off-site client office examinations.