Compliance Associates/Managers

  • Competitive
  • Oakland, CA, USA
  • Permanent, Full time
  • Infinity Financial Services
  • 16 Oct 17 2017-10-16

Reviews Infinity Financial Services securities-related activities to identify and prevent potential regulatory violations. Designs, coordinates, and conducts training and education for representatives on regulatory compliance. Monitors and evaluates processes and procedures to improve efficiency. Completes projects relating to IFS’ compliance supervision program.

Essential Job Duties & Responsibilities

  • Review and analyze activities of registered representatives and associated persons, such as e-mail, advertising material, non-cash compensation, etc. to ensure compliance with FINRA regulations.  
  • Design, coordinate, and conduct training sessions and Annual Compliance Meetings for associates. 
  • Review and process all matters related to FINRA registrations and state insurance licenses. 
  • Review updates and changes to FINRA regulations and proposes appropriate updates to policies and procedures.  Audit the policies and procedures to ensure effectiveness through Walters Kluwer. 
  • Respond to inquiries from associates, regulatory agencies and broker/dealers via phone, mail and e-mail.
  • Overnight travel required to conduct field audits of registered representatives (approximately 15-20% per year).
  • Project work as needed.

Other Duties

  • May serve on committees and project teams.
  • Additional travel and fieldwork may be required. 
  • Other duties as assigned.

Qualifications

Knowledge, Skills, & Abilities

  • Knowledge of FINRA and SEC regulations and systems.
  • Knowledge of industry products and sales practices
  • Excellent customer service and relationship building skills
  • Established research, investigative and interpretation skills
  • Excellent verbal and written communication skills
  • Good project management skills
  • Strong computer knowledge

Education and Experience Required

  • Bachelor's Degree required
  • 3 to 5 years of industry experience with Compliance experience preferred

Certifications, Licenses, Registrations Required

  • Preferred for candidates to have FINRA Series 7 required and Series 24, but not required