What are the responsibilities and job description for the Compliance Officer position at Tru Talent?
Compilance Officer
Melville, NY
Full Time
We are seeking a Supervisory Officer located in our Melville, NY office location. The Supervisory Officer will be responsible for monitoring the compliance program and advising the Branch Manager on significant risk and compliance initiatives. Supervisory Officer will be tasked with implementing procedures to ensure that the compliance programs throughout the organization are effective and efficient in identifying, preventing, detecting and correcting noncompliance with applicable laws and regulations.
Responsibilities
Keep up on the latest rules and regulations
Implementing practices that will ensure company meets all current industry regulation standards
Have in-depth knowledge and understanding of fee-based business and Reg BI
Monitor the firm's written supervisory procedures
Detailed knowledge of the firm’s policies and procedures and how they are applied and monitored
Maintain daily, monthly, quarterly and annual compliance log/tasks
Monitor all aspects of the firm’s operations in order to identify new or emerging compliance issues
Advise management on existing and new regulations as they occur and how they affect the firm and its clients
Communicate clearly and effectively
Perform other duties and responsibilities as assigned
Monitor multiple branch locations
Review and approval of advertising and marketing material
Organize the submission of timely regulatory responses
Qualifications
Must have the following licenses: Series 7, 24 and 63; Series 4 & 65/66 preferred
Minimum of 5 years’ experience (10 years preferable) as a Supervisor or relevant experience working closely in supervision/compliance in the financial services industry
Strong analytical skills required to organize and analyze multiple, complex data
A team player, enthusiastic, energetic, pro-active and responsive
Proven track record of identifying, solving and preventing compliance issues
Demonstrated ability to understand complex regulatory requirements and create effective compliance programs
Must be highly organized
Ability to voice and defend opinions
Compensation will be salary and bonus. Salary commensurate with being the SO of a midsized full-service investment banking firm
Experience working with FINRA and the SEC
Job Type: Full-time
Pay: $65,000.00 - $90,000.00 per year
Ability to commute/relocate:
- Melville, NY 11747: Reliably commute or planning to relocate before starting work (Required)
Experience:
- Microsoft Powerpoint (Preferred)
- compliance in the financial services industry (Required)
Work Location: In person
Speak with the employer
91 9724728899
Salary : $65,000 - $90,000