Regional Compliance Officer

This is a remote or hybrid position.

The Regional Compliance Officer is accountable for the implementation and coordination of the supervisory program for an assigned region and/or home office.

• Responsible for onsite branch office audits as prescribed by regulation, conducting quarterly compliance reviews for all assigned registered representatives, ongoing securities-related monitoring and surveillance, activities, propose and administer disciplinary actions, review and approval of all outside business activities, personal investment accounts, and private securities transactions
• Coordination of new registered representative on-boarding and agency branch office set-up
• Provides independent guidance and training on securities related compliance matters to agents/registered representatives and field management as required
• Accountable to regulatory bodies for compliance with supervisory regulations of agents/registered representatives in the region; administer corrective action as required

Job Requirements:

• Bachelors’ Degree or equivalent years of experience in the industry
• 3-5 years of experience in securities industry
• Ability to work independently or as part of a team
• Travel within assigned region (up to 50% of the time)
• Licensing requirements: FINRA Series 6 (or Series 7) and Series 26 (or Series 24) required. Series 51 and Series 65/66 required within 3 months of date of hire

Work location is flexible if approved by the Company except that the position may not be performed remotely from New York City.

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