The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible. This is a hybrid role, candidates must be located near an office hub: St Paul, MN | St Cloud, MN | Des Moines, IA | El Segundo, CA | San Diego, CA | Dallas, TX. What you will do: Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures. Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline Review and process client accommodations requested by field partners. Monitor industry publications/notifications for regulatory notices and new rules. Assist with updating compliance policies and procedures manuals. Provide oversight of surveillance reports to ensure actionable items are addressed. Review and acknowledge requests for Private Securities Transactions Liaison for Security and Vulnerable Adult Incidents with our field and internal partners Review Office Sharing arrangements for the firm. Provide secondary review for regulatory responses. Identify and maintain risk areas for annual compliance training. Monitor and test firm policies and procedures based on risk levels to the firm. Perform 3120 and ad hoc testing on specific Compliance and firm functions. Provide occasional training to field and home office personnel on compliance topics. Review and analyze individuals seeking to affiliate with the firm. Input cases and documentation into respective firm approved tools. Keep abreast of new products, technologies and their applications and compliance implications. Primary contacts for this position are: Designated Principals and Registered Representatives in the field Internal partners such as Supervision, Resource Center, and Operations Project work as needed What you need to have: 1-3 years of BD Compliance experience Series 7 and 24 required. Regulations and interpretive guidance Industry Best Practices Problem resolution Thorough analysis Excellent written and verbal communication Interpersonal relations Review and analyze cases from a practical, policy and regulatory framework. Provide accurate and thorough written documentation. Manage several tasks proactively. Work well independently as well as on a team. Manage workloads and help team as needed HS Degree at minimum What is nice to have: Series 4 and/or 53 preferred MS office including Excel, Word, PowerPoint, and Salesforce (preferrable) Bachelor’s degree preferable Compensation : The base annual salary range for this role is $59,000 to $103,000, plus a competitive performance-based bonus. Base annual salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Base annual salary may also differ significantly due to geography and cost of labor considerations.
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