North Carolina Licensed Compliance Officer
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Job Summary
To provide regulatory oversight of electronic communications, the remote North Carolina Licensed Compliance Officer will review and investigate escalated communications, assess supervisory risks, and partner with compliance leaders to identify emerging trends.
Key responsibilities
- Review and disposition escalated electronic communications identified through the surveillance program
- Conduct in-depth reviews into potentially inappropriate communications and assess risks with field leaders and compliance stakeholders
- Support oversight of off-channel communications and contribute to surveillance reporting and metrics
Required qualifications
- Bachelor's Degree and 5 years' experience in Compliance, Legal, or Audit, or High School Diploma/GED with 9 years' experience
- FINRA Series 24 license required
- 3-5+ years of broker-dealer and/or RIA compliance, supervision, or risk experience
- Experience conducting investigations and supervisory reviews
- Working knowledge of FINRA communications and supervision requirements, including Rules 2210 and 3110
Complete Job Description
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