Compliance Officer
Salary undisclosed
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WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This position plays an integral role on a team of compliance supervisory officers and ensures our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.
Please note: You must currently hold FINRA S24 (or 9 &10)
Core Job Responsibilities:
No immigration sponsorship available for this role.
Required Qualifications:
Please note: You must currently hold FINRA S24 (or 9 &10)
Core Job Responsibilities:
- Conduct inspections of affiliated offices and producer interviews and complete required documentation
- Monitor and enforce disciplinary actions and tailored supervision arrangements
- Review and monitor advisor transactions, correspondence, sales material and business practices per industry and company guidelines
- Approve and monitor outside business activities
- Document advisor onboarding and offboarding
- Participate in firm inspections and regulatory audits
- Training and education
- Additional duties assigned by supervisor
- Must maintain FINRA licenses noted below
No immigration sponsorship available for this role.
Required Qualifications:
- Series 7, 24 (or 9 and 10), 66 (or 63 and 65)
- Bachelor's degree or equivalent combination of education and experience
- 3+ years of professional experience in a similar role
- Series 53 preferred, or must pass within 120 days of employment
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