Securities Compliance Principal

World Insurance Associates, LLC.•Lincroft, NJ

2d•Remote

About The Position

The Securities Compliance Principal is responsible for ensuring the firm’s adherence to all applicable securities laws, regulations and internal policies. This role will be responsible for review and approval of new accounts, assist with advertising review, conduct branch examinations and assist in investigations into compliance issues, respond to inquiries from branches and advisors on matters related to compliance.

Requirements

Bachelor’s degree (B.A./B.S.) in a related discipline required.
Minimum five (5) years of Compliance and/or regulatory experience within both RIA and broker-dealer business segments.
Series 7, 24 (or 26), 65 (or 66), Series 53 (or 51)
Strong working knowledge of both brokerage and investment advisory business concerning the regulatory framework in which they operate.
A deep understanding of industry rules governing supervision, suitability, and registrations.
Excellent technology and communication skills
Ability to work independently to manage time and prioritize tasks efficiently.
Be a motivated self-starter who can make thoughtful, deliberate decisions with minimal assistance.
The desire to be an enthusiastic, cooperative team player who is always seeking ways to improve processes.

Nice To Haves

Have previous experience with and a thorough understanding of regulatory requirements under Reg-BI and PTE 2020-02.
Life, Health, & Variable Annuity license.
Experience with the Pershing Brokerage platform as well as audits and exams

Responsibilities

Review and approve new investment accounts
Review and approve advertising and marketing materials as necessary
Review email and correspondence as necessary
Conduct branch examinations as assigned
Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
Support the Broker-dealer and RIA Chief Compliance Officers on projects as assigned.
Assist management and other compliance personnel with the completion of various projects and testing.
Other duties as assigned.