Broker Dealer Regulatory Compliance Associate | | NPB
Now hiring in Newport Beach, CADistribution Compliance AssociateType TempDuration Temp duration estimated for approximately 6
months (may end shorter or extend longer per Client request)Rate $50.
00 to $52.
00/hr (DOE) no benefits, no paid time off, no holiday paid time off for temp durationLocation Newport Beach, CA 92660/ Austin, TX 78701Start Immediate Pre-employment criminal screen, drug screen, completed degree/education verification and employment verifications are required to pass before clearing to startPOSITION DESCRIPTIONThe individual will be responsible for providing direct support to the firms broker-dealer regulatory compliance program in the following areas, among others:
financial intermediary due diligence, conflict of interest reviews, recordkeeping management; licensing and registration activities of registered representatives; surveillance of electronic communications; compliance training; branch office inspections; compliance monitoring and testing related to compliance program requirements, support policies & procedure development, as well as special projects.
A successful candidate will also be expected to maintain a general understanding of global compliance policies, specific regulatory requirements and their relevance to particular aspects of business, related compliance monitoring procedures and documentation protocols.
KEY RESPONSIBILITIESExecute initial and on-going due diligence for financial intermediariesConduct compliance monitoring reviews related to potential conflicts of interestMonitor registered representatives and associate person activities in consideration of FINRA and NFA licensing and registration requirementsConduct surveillance of electronic communications of FINRA registered representativesSupport the development and implementation of compliance policies and proceduresPerform annual compliance program reviews and testing of broker-dealer controlsConduct annual inspections of the firms OSJs and branch officesAssist the Legal and Compliance department with on-going initiatives as neededPOSITION REQUIREMENTSAbility to interact with colleagues of all levels and clearly understand complex concepts is requiredExcellent organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlinesKnowledge of the following is preferred:
compliance programs, policies and requirements, and broker-dealer regulatory requirementsStrong background in utilizing Microsoft software suite, with a focus on Excel, including formulas (e.
g.
, vlookup, etc.
) and pivot tablesDemonstrated ability to think innovatively and to execute in a focused highly tactical mannerAbility to work in a self-directed manner is critical, successful individual will pro-actively identify issues and be solution orientedCommunicate effectively including strong business writing and verbal skillsAbility to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictateDemonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organizationMust have a strong sense of integrity, behaving consistently with expressed values and ethical principlesRole Requirements:
Work experience in the financial services/asset management industry is required, applicable legal and compliance experience is preferredAn undergraduate degree is required, graduate degree or Juris Doctorate preferredFINRA Series 7 and 24 registrations required, or must be obtained within six months of hireUnderstanding of conflicts of interest and how they can affect businessGeneral knowledge of regulatory requirements applicable to U.
Sbroker-dealers Recommended Skills Asset Management Business Correspondence Business Requirements Communication Compliance Training Coordinating Apply to this job.
Think you're the perfect candidate? Apply on company site $('.
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on('click', function (event) window.
ExternalApply = window.
open('/interstitial?jobdid=j3n3866nnvl1hmd3q7k', 'ExternalApply-j3n3866nnvl1hmd3q7k'); ); Estimated Salary: $20 to $28 per hour based on qualifications.
months (may end shorter or extend longer per Client request)Rate $50.
00 to $52.
00/hr (DOE) no benefits, no paid time off, no holiday paid time off for temp durationLocation Newport Beach, CA 92660/ Austin, TX 78701Start Immediate Pre-employment criminal screen, drug screen, completed degree/education verification and employment verifications are required to pass before clearing to startPOSITION DESCRIPTIONThe individual will be responsible for providing direct support to the firms broker-dealer regulatory compliance program in the following areas, among others:
financial intermediary due diligence, conflict of interest reviews, recordkeeping management; licensing and registration activities of registered representatives; surveillance of electronic communications; compliance training; branch office inspections; compliance monitoring and testing related to compliance program requirements, support policies & procedure development, as well as special projects.
A successful candidate will also be expected to maintain a general understanding of global compliance policies, specific regulatory requirements and their relevance to particular aspects of business, related compliance monitoring procedures and documentation protocols.
KEY RESPONSIBILITIESExecute initial and on-going due diligence for financial intermediariesConduct compliance monitoring reviews related to potential conflicts of interestMonitor registered representatives and associate person activities in consideration of FINRA and NFA licensing and registration requirementsConduct surveillance of electronic communications of FINRA registered representativesSupport the development and implementation of compliance policies and proceduresPerform annual compliance program reviews and testing of broker-dealer controlsConduct annual inspections of the firms OSJs and branch officesAssist the Legal and Compliance department with on-going initiatives as neededPOSITION REQUIREMENTSAbility to interact with colleagues of all levels and clearly understand complex concepts is requiredExcellent organizational skills; the ability to effectively prioritize tasks, follow up, produce consistently accurate work, and meet strict deadlinesKnowledge of the following is preferred:
compliance programs, policies and requirements, and broker-dealer regulatory requirementsStrong background in utilizing Microsoft software suite, with a focus on Excel, including formulas (e.
g.
, vlookup, etc.
) and pivot tablesDemonstrated ability to think innovatively and to execute in a focused highly tactical mannerAbility to work in a self-directed manner is critical, successful individual will pro-actively identify issues and be solution orientedCommunicate effectively including strong business writing and verbal skillsAbility to flourish in a challenging, fast-paced and professional environment with frequent shifts in priorities as business needs dictateDemonstrated self-awareness, cultural skills, and sensitivities to work effectively in a global organizationMust have a strong sense of integrity, behaving consistently with expressed values and ethical principlesRole Requirements:
Work experience in the financial services/asset management industry is required, applicable legal and compliance experience is preferredAn undergraduate degree is required, graduate degree or Juris Doctorate preferredFINRA Series 7 and 24 registrations required, or must be obtained within six months of hireUnderstanding of conflicts of interest and how they can affect businessGeneral knowledge of regulatory requirements applicable to U.
Sbroker-dealers Recommended Skills Asset Management Business Correspondence Business Requirements Communication Compliance Training Coordinating Apply to this job.
Think you're the perfect candidate? Apply on company site $('.
external-apply-email-saved').
on('click', function (event) window.
ExternalApply = window.
open('/interstitial?jobdid=j3n3866nnvl1hmd3q7k', 'ExternalApply-j3n3866nnvl1hmd3q7k'); ); Estimated Salary: $20 to $28 per hour based on qualifications.
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