Compliance Principal
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Job Description
Compliance Principal overseeing trading surveillance, AML, suitability, and portfolio risk reviews. Supporting advisors and strengthening compliance controls for a financial services firm.
Responsibilities:
- Review surveillance reports and trade alerts for client and employee accounts
- Resolve sales practice concerns within the expected service level
- Perform secondary reviews of high-risk accounts and complex transactions
- Approve transactions requiring principal review
- Investigate issues, document findings, and drive corrective actions with advisors and business units
- Review insurance and annuity recommendations and transactions for suitability and supervisory requirements
- Escalate exceptions and work with advisors and internal teams to resolve them
- Run AML and CIP monitoring, conduct investigations and due diligence, and document outcomes
- Recommend enhancements to AML and CIP procedures as rules and risks change
- Monitor portfolios for concentration, suitability, and portfolio management risks
- Produce compliance metrics and trend analyses and propose improvements
- Work the Compliance case queue and handle advisor and client inquiries
- Compile data and exhibits for regulatory examinations, inquiries, and internal reviews
- Help draft responses as directed
- Create and deliver targeted training and job aids as rules evolve
- Provide backup coverage for advertising and correspondence review, branch examinations, and regulatory filings
Requirements:
- Bachelor's degree in business, finance, or a related field, or equivalent industry experience
- Five (5) or more years of broker-dealer or RIA compliance experience, including principal-level review and approval
- Active Series 7, 24, and 63 licenses
- Working knowledge of SEC and FINRA rules, AML and CIP requirements, and suitability and Regulation Best Interest standards
- Experience with surveillance platforms and compliance workflow tools
- Proficiency in Microsoft Excel and SharePoint
- Strong investigative, analytical, and writing skills
- Ability to document a decision so it holds up in an examination
- Ability to manage multiple deadlines in a fast-paced, distributed environment
- Series 53 or 51 and Series 66 licenses strongly preferred
- Experience supporting FINRA or SEC examinations, including compiling exhibits and drafting responses
- Experience reviewing insurance and annuity transactions for suitability
- Experience conducting branch examinations and reviewing advertising and correspondence
- Submit a current resume and a brief cover letter describing interest and relevant broker-dealer or RIA compliance experience
Benefits:
- Comprehensive medical, dental, and vision coverage
- 401(k) participation with company match
- Paid time off and paid holidays
- Eligibility for discretionary performance-based bonus
- Wellness initiatives
- Opportunities for continuous learning and professional development in a supportive team
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