Associate Compliance Officer, Broker Dealer and RIA

International Assets Advisory, LLC

Orlando, FL, USA

Published: 6/14/2022

Full Time

Job Description

We are looking for an Associate Compliance Analyst to support the broker-dealers’ Chief Compliance Officer (CCO) and compliance team. The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA Broker-Dealer and SEC Registered Investment Advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance program reporting directly to the Broker-Dealer’s Chief Compliance Officer and supporting our affiliated SEC Registered Investment Advisor compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedure

Responsibilities

Review of the sales and trading activities of financial advisors
Conduct licensing and registration activities for broker dealer and RIA, including Form U4, U5, Form BR and disclosures.
Respond to state registration inquiries
Participate in the on boarding of new advisors
Track, report and resolve deficiencies related to exception reports
Assist in the investigation and resolution of customer complaints and FINRA/SEC inquiries.
Responding to clearing firm inquiries
Provide monthly and quarterly compliance reports to the CCO
Maintain internal records
Employee account oversight

Requirements and Skills

FINRA Series 7
FINRA 24 or the ability to obtain within 90 days
Solid understanding of SRO rules for securities licensing and proficiency in FINRA Gateway
Minimum of two years compliance and/or supervisory experience
Strong knowledge of financial services industry and products and services
Ability to prioritize and multi-task
Outstanding organizational and time management skills
Excellent verbal and written communications skills
Deadline and detail-oriented
Aptitude for analysis, investigation and problem solving
Strong proficiency in office programs, with particular emphasis on Excel

Candidates are subject to a background and credit check, pre-employment tests, and must be authorized to work in the US.