Compliance Officer

Secure Financial Group • Topeka, KS

385d • $50,000 - $132,192

About The Position

The Compliance Officer at Aurora Securities, Inc. plays a crucial role in supporting the Chief Compliance Officer (CCO) by ensuring adherence to regulatory compliance and supervisory programs for the broker-dealer and affiliated SEC Registered Investment Advisor. This position is ideal for a proactive professional with extensive compliance experience, particularly within a broker-dealer environment, and a strong understanding of FINRA and SEC regulations. The role involves a variety of responsibilities, including monitoring compliance activities, conducting inspections, and assisting with regulatory filings.

Requirements

• Bachelor's degree
• 2+ years of related experience in operations and compliance functions with a broker-dealer
• Series 24 Securities License
• Strong analytical skills
• Project management experience
• Excellent communication skills
• Time management skills
• Knowledge of securities law and compliance monitoring technology

Nice To Haves

• Series 7 Securities License
• Experience with compliance monitoring technology
• Knowledge of business and management principles

Responsibilities

• Assist with the day-to-day activity of the broker-dealer and RIA programs including registration and licensing.
• Monitor and supervise activities of registered representatives and provide training and education.
• Develop, update, and enforce the firm's policies and procedures.
• Conduct periodic testing and verification of the firm's broker-dealer compliance program.
• Perform branch and non-branch office inspections.
• Supervise email surveillance and escalate items to the CCO as appropriate.
• Review advertising and sales materials and other business communications.
• Support the firm with its AML compliance program.
• Assist in the implementation of new regulatory requirements and execution of business initiatives.
• Assist with regulatory filings and reports such as Form BR, Form U4, NRFs, and U5.
• Conduct internal and third-party vendor testing.
• Develop strong relationships and work with all organizational levels.
• Research and collaborate to interpret new and existing regulations.
• Perform supervisory reviews of direct business lines.
• Conduct compliance training and update personnel on compliance issues.
• Manage projects associated with the development of new business lines.
• Identify, assess, and manage compliance risks.

Benefits

• Health insurance
• Dental insurance
• 401(k)
• Paid time off
• Life insurance

What This Job Offers

• Job Type: Full-time
• Career Level: Mid Level
• Industry: Securities, Commodity Contracts, and Other Financial Investments and Related Activities
• Education Level: Bachelor's degree