Employer Industry: Financial Services

Why consider this job opportunity:
- Salary range up to $124,600
- Opportunity for career advancement with clearly defined tracks and leadership development programs
- Flexible remote work environment with hybrid options available
- Comprehensive employee benefits including competitive 401K, PTO, and tuition assistance
- Access to free financial counseling and health coaching programs
- A supportive workplace culture that values unique perspectives and contributions

What to Expect (Job Responsibilities):
- Schedule and prepare for inspections of broker-dealer offices, assessing compliance with industry regulations
- Review registered representatives' activities to identify compliance issues and ensure adherence to regulations
- Conduct interviews with office personnel regarding security procedures and business practices
- Prepare detailed reports on inspection findings and follow up on outstanding compliance issues
- Stay informed about current FINRA and state regulatory trends impacting compliance practices

What is Required (Qualifications):
- Bachelor’s degree or equivalent work experience (4 years of experience in lieu of a Bachelor's)
- 3-5 years of experience in securities and/or insurance, with exposure to compliance matters
- Basic knowledge of SEC and FINRA rules, state insurance regulations, and industry best practices
- Intermediate understanding of compliance risk management and federal/state regulatory requirements
- Must possess or acquire FINRA Series 6 or Series 7 certification within 90 days of hire

How to Stand Out (Preferred Qualifications):
- Strong relationship management skills and proven ability to collaborate with internal clients
- Experience identifying and recommending process improvements
- Excellent organizational skills with the ability to prioritize and manage multiple tasks
- Ability to maintain confidentiality and exercise sound judgment
- Proficiency in Microsoft Office Suite (Word, Excel, PowerPoint, Outlook)

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