Job description
Position Summary:
Private Client Services has a great opportunity open for a Compliance Surveillance Officer. In this key role you will be primarily responsible for developing and maintaining a solid understanding of all applicable laws and regulations related to our business; providing advisory services; maintenance of the watch list and restricted list; identifying and addressing conflicts of interest; creating, updating, and enforcing written policies and procedures.
Essential Duties and Responsibilities:
The surveillance officer role is part of a team of compliance professionals who share functions such as:
- Advanced knowledge of Alternative Investments to assist with due diligence and ongoing oversight of private placement activities and other AI products.
- Assist with onboarding of new representatives and assistants (Attestations, OBA’s, Disclosure review, Investment account approvals, 3210 letter generation for personal accounts and outside RIA custodian approvals, etc.)
- Quarterly review of associated person investment account transactions
- Annual review of associated person investment holdings
- Associated person termination processing (social media, Quest system terminations)
- Complete Daily AML Reports.
- Assist with trade review.
- Assist with approving Retail Communication submissions.
- Maintain firm records for Political Contributions, Vendor/Product Provider Meetings.
- Review new Outside Business Activity disclosures, Approve, or escalate to the CCO. Maintain firm central record of OBA activities.
- Review of electronic mail, text message, and social media communications.
- Produce 3210 (Outside Investment Account) approvals.
- Firm liaison and administrator to Erado for the archiving of representative Facebook accounts.
Experience/Education/Licenses:
- Bachelor’s degree and 3-5 years of Compliance experience, relevant experience with a broker-dealer, and/or relevant experience working for a regulatory authority within the financial industry.
- Strong understanding and experience related to private placement regulations, sales, and oversight.
- Must have SIE, the Series 7 and 24 licenses.
Job Type: Full-time
Pay: $52,600.00 - $83,100.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Employee assistance program
- Flexible schedule
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Professional development assistance
- Retirement plan
- Vision insurance
Schedule:
- Monday to Friday
Work Location: Remote
jjbodyshop.com is the go-to platform for job seekers looking for the best job postings from around the web. With a focus on quality, the platform guarantees that all job postings are from reliable sources and are up-to-date. It also offers a variety of tools to help users find the perfect job for them, such as searching by location and filtering by industry. Furthermore, jjbodyshop.com provides helpful resources like resume tips and career advice to give job seekers an edge in their search. With its commitment to quality and user-friendliness, jjbodyshop.com is the ideal place to find your next job.