State Licensed Compliance Specialist

Job Summary

A company is looking for a Compliance Specialist to support its Compliance Program.

Key Responsibilities

• Develop and manage a Compliance Department activity reporting system
• Represent the compliance department in resolving issues with new account setups
• Provide support and guidance to Financial Representatives regarding compliance processes and inquiries

Required Qualifications

• Bachelor's degree in a related discipline
• Minimum two years of Compliance and/or regulatory experience within RIA and broker-dealer segments
• Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or ability to obtain within 120 days of hire)
• Strong knowledge of brokerage and investment advisory regulatory frameworks
• Understanding of industry rules governing supervision, suitability, and registrations