Supervisor BD/RIA (Series 7&24)
About The Position
San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally. We are seeking a highly organized and detail-oriented Compliance Supervisor to help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules. Competitive Compensation + bonus based on experience. $80 - $100K
Requirements
- Bachelor’s degree or experience equivalent
- FINRA Series 7 and FINRA Series 24 required
- 3 – 5 years relevant experience at RIA and BD or industry regulator
- Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
Nice To Haves
- Familiarity with RBC and Schwab back-office a plus
Responsibilities
- Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
- Manage Firm’s Onboarding Training Program for compliance with new hires
- Schedule new hire training
- Assist in administering firm annual training and advisor attestations
- Schedule targeted training as required
- Foster a culture of compliance
- Document supervisory activities
- Review advisors purchase and sales blotter
- Review advisors communications to (and from) clients
- Review/report customer complaints to CCO
- Assist in conducting Branch Exams
- Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
Stand Out From the Crowd
Upload your resume and get instant feedback on how well it matches this job.
What This Job Offers
Job Type
Full-time
Career Level
Mid Level
