Compliance Specialist – External Reps

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

📋 Description

• Support the execution and implementation of the Broker-Dealer compliance program, focusing on both internal and external supervision of registered representatives.

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

• Evaluate registered representatives' registration and supervision, monitor anti-money laundering activities, and handle business continuity tasks.

• Travel as necessary for off-site examinations at client offices.

• Perform reviews of websites and online content.

• Contribute to departmental initiatives, including annual due diligence evaluations of vendors, agreements, clients, and products.

• Assist with regulatory, internal, and third-party audits pertaining to Broker-Dealer compliance programs.

• Respond to client and internal inquiries, facilitating issue resolution.

• Follow up on inquiries and maintain workflow coordination with team members and internal departments.

• Execute other assigned responsibilities.

⛳️ Requirements

• A bachelor’s degree in business administration, finance, accounting, or a related discipline.

• A minimum of 2 years of experience within the financial sector.

• Experience in an operations or compliance capacity.

• Possession of FINRA Series 6 and Series 26 certifications.

• FINRA Series 7 or Series 24 certification, or the ability to acquire it within 12 months.

• Familiarity with securities rules and regulatory guidelines.

• Proficient in Microsoft Office Suite.

• Experienced with Adobe Acrobat.

• Capable of effectively communicating and applying regulatory requirements to both internal teams and clients.

• Strong troubleshooting, creative, and critical thinking abilities.

• Excellent multitasking, analytical, and organizational skills.

• A proactive, strategic, and detail-oriented mindset dedicated to quality, efficiency, and effectiveness.

• Personal integrity, responsibility, and accountability.

• Ability to utilize time and information resources effectively.

• Competence in problem-solving and decision-making.

• Clear and concise written and verbal communication skills.

• Proficient in active listening and fostering an open exchange of ideas.

• Capability to identify and secure resources necessary for achieving objectives.

• Ability to cultivate effective working relationships with colleagues and clients.

• Flexibility to adjust priorities and deadlines in response to changing circumstances and challenges.

• Equivalent education and experience will be taken into account.

🏝️ Benefits

• Competitive salary and performance-based bonuses.

• Comprehensive health, dental, and vision insurance.

• Retirement savings plan with company match.

• Opportunities for professional development and career advancement.

• Flexible work hours and remote work options.