Compliance Specialist with Licenses

Job Summary

A company is looking for a Compliance Specialist to support its Compliance Program and contribute to the team's growth and deliverables.

Key Responsibilities

• Develop and manage a Compliance Department activity reporting system
• Lead the design and implementation of a Compliance Department ticketing system
• Provide support, education, and guidance to Financial Representatives regarding business processes and compliance

Required Qualifications

• Bachelor's degree in a related discipline required
• Minimum of two years of Compliance and/or regulatory experience within RIA and broker-dealer segments
• Series 7, 24 (or 26), 63, 65 (or 66), Series 53 (or 51), and Life, Health, & Variable Annuity Insurance Licenses (or ability to obtain within 120 days of hire)
• Strong working knowledge of brokerage and investment advisory regulatory frameworks
• Ability to work independently and manage time efficiently