Description

The Securities Compliance Department of two Broker-Dealers and Registered Investment Adviser has an opening for a compliance professional to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, and conducting compliance testing to identify and manage regulatory risk. This person will be responsible for understanding the securities products offered by the Firm, including mutual funds, variable annuities, 529 Plans and a wrap-fee advisory product. This person will also be responsible for providing guidance and training to the business and registered representatives.

This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.

ESSENTIAL DUTIES AND RESPONSIBILITES:

• Interpret new and existing securities laws and regulations and use knowledge and experience to provide guidance to business units across the broker-dealers and registered investment adviser.
• Work directly with registered representatives and regulators such as FINRA, SEC and the Securities Divisions of each state on responses to regulatory inquiries.
• Serve as subject matter expert and represent the Compliance Department in business meetings and on committees.
• Analyze existing policies, procedures, processes, and controls to determine gaps or areas for improvement.  
• Assist the Compliance Department with researching and analyzing relevant compliance-related information in an effort to identify potential issues, trends, risks and/or training opportunities.
• Create training that may include in person training or written training such as bulletins and publications.
• Conduct compliance testing to ensure the broker-dealers and registered investment adviser are meeting regulatory requirements.
• Prepare and submit timely regulatory filings, such as Form BD amendments, NSCC notifications, and other required filings to applicable regulators.
• Work with business units to provide guidance and create, update, and/or enhance policies and procedures to achieve compliance with regulatory requirements.

REQUIRED SKILLS AND ABILITIES:

• Ability to manage multiple priorities and quickly and efficiently adapt to changes in procedures or policies
• Ability to function independently as well as well as cooperatively
• Ability to perform assigned tasks within the specified time frames and meet quality expectations
• Ability to conduct research and provide management with proposed solutions
• Thorough and detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
• Microsoft Office products, e.g., Word, Excel, etc.
• Excellent analytical, research, and writing skills
• Excellent interpersonal relationship skills
• Excellent verbal and written communication skills
• Strong sense of ethics, accountability, and judgment
   

MINIMUM REQUIRED QUALIFICATIONS:

• Bachelor’s Degree
• FINRA SIE, Series 7, 24 and 65/66 securities licenses (or obtained within 150 days of hire)
   

PREFERRED QUALIFICATIONS:

• MBA, Juris Doctorate or other advanced degree
• 2-5 years of experience in the financial services industry
• Experience with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
• Experience completing legal research
• Strong working knowledge and understanding of US securities laws and regulations
• Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, completing regulatory filings etc.
• Comprehensive understanding of mutual funds, annuities and/or advisory products
• Experience with FINRA Gateway and/or WebCRD