Job DescriptionThe Broker Dealer (BD) Compliance team is responsible for helping ensure the Firm's policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field personnel on the broker dealer policies and procedures as well as the rules and regulation that apply to our highly regulated industry. We partner with business teams and the field to to identify compliant solutions where possible and provide education on the reasoning and risks when a requested approach is not possible.
What you will do: - Respond to inquiries from field and home office personnel to support compliance with the applicable laws, regulations and Firm policies and procedures.
- Address emails and phone calls received through the Compliance Email Inbox and Compliance Hotline
- Review and analyze Private Securities Transaction requests, identify potential conflicts or regulatory concerns, and communicate acknowledgments or next steps
- Evaluate Due Diligence meetings for compliance with regulatory and firm requirements.
- Evaluate office-sharing arrangements for compliance with applicable regulatory and Firm requirements.
- Provide secondary review for regulatory responses.
- Review Outside Business Activity escalations and provide guidance on next steps.
- Provide oversight of Outside Business Activities approved with conditions
- Monitor and test Firm policies and procedures based on risk levels.
- Perform 3120 and ad hoc testing on specific Compliance and Firm functions.
- Deliver occasional training to field and home office personnel on compliance topics.Review and analyze individuals seeking to affiliate with the firm.
- Enter cases and supporting documentation into respective Firm approved tools.
- Assist with updates to compliance policies, procedures, and manuals.
- Stay informed on new regulations, policies, technologies, products and related compliance implications.
- Participate in project work as needed
What You Need to Have: - 1-3 years of BD Compliance experience
- FINRA Series 7 and 24 registrations required.
- Knowledge of applicable regulations and interpretive guidance
- Strong problem resolution skills
- Ability to conduct thorough analysis and apply practical, policy and regulatory frameworks
- Excellent written and verbal communication skills
- Strong interpersonal relations and relationship building skills
- Ability to work independently and collaboratively in a team environment and meet deadlines
- Ability to manage workloads and support team priorities as needed
- HS Degree at minimum
What's Nice to Have: - MS office including Excel, Word, PowerPoint, and Salesforce (preferrable)
- Bachelor's degree preferable
Compensation: The base salary range for this role in Dallas, TX is $66,000-$95,000, plus a competitive performance-based bonus. Base salary depends on a wide array of factors, including but not limited to skill set, years and depth of experience, certifications, and location. Salary range may also differ significantly due to geography and cost of labor considerations.
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