Compliance Associate

Signal Advisors•Detroit, MI

23d•Hybrid

About The Position

As the Compliance Associate, you will be a key partner to the Chief Compliance Officer (CCO) in executing the firm's compliance program. You will be a key, high-functioning professional supporting and monitoring the regulatory compliance programs for the Signal Wealth offering. This role requires an understanding of SEC RIA regulations and focuses heavily on licensing, registration, sales and marketing review, and internal control monitoring to ensure adherence to applicable SEC and FINRA rules and firm policies. You will need to be deadline and detail-oriented to ensure we are always "Doing the right thing".

Requirements

Minimum of two years compliance and/or supervisory experience within an RIA.
Insurance and securities marketing review experience
Strong knowledge of the financial services industry, its products and services, and applicable SEC and FINRA regulations.
Deadline and detail-oriented with outstanding organizational and time management skills.
Strong proficiency in office programs, with particular emphasis on Excel, and aptitude for analysis, investigation, and problem solving.

Nice To Haves

FINRA Series 65/66; Series 7 and annuity and insurance knowledge is a nice to have.

Responsibilities

Review and monitor the sales and trading activities of financial advisors, tracking, reporting, and resolving deficiencies related to exception reports.
Respond to state registration inquiries and coordinate the compliance on-boarding of new financial advisors.
Assist in the investigation and resolution of customer complaints and inquiries from regulatory bodies (FINRA/SEC/State).
Provide monthly and quarterly compliance reports and assist with responding to firm inquiries.
Assist with marketing review, including internal and external advisor and retail client collateral
Assist with IAR supervision including issue identification and remediation, account billing and suitability review, and other supervision duties.
Help monitor employee account oversight and maintain internal regulatory records.
Act as a compliance resource, providing guidance on regulatory requirements and firm policies across all business lines.
Other compliance-related responsibilities due to continued growth.