Compliance Auditor

Stephens • Little Rock, AR

22d

About The Position

ESSENTIAL DUTIES AND RESPONSIBILITIES Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance. Assist in annual compliance interviews or meetings with all registered representatives and associated persons. Assist in preparing responses to broker/dealer questionnaires. Provide support to branch office managers and branch personnel regarding compliance. Assist in providing training to new employees in Branch Offices. Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required. Perform other functions and tasks as may be assigned by management.

Requirements

• Bachelor's degree in a related field.
• 3+ years of related experience and/or training preferred
• Equivalent combination of education and experience.
• SIE - Securities Industry Essentials
• Series 7 - General Securities Representative
• Series 63 - State Law Exam

Nice To Haves

• Experience in compliance auditing with a securities and/or investment company desired.

Responsibilities

• Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations
• Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance.
• Assist in annual compliance interviews or meetings with all registered representatives and associated persons.
• Assist in preparing responses to broker/dealer questionnaires.
• Provide support to branch office managers and branch personnel regarding compliance.
• Assist in providing training to new employees in Branch Offices.
• Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required.
• Perform other functions and tasks as may be assigned by management.

What This Job Offers

• Job Type: Full-time
• Career Level: Entry Level