Radial

Compliance Officer Branch Audit

Radial • $80K — $95K *
Waltham, MA 02453In-Person
Finance & Insurance
Less than 5 years of experience
Today
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Job Overview by Ladders

Qualifications

  • 3+ years of compliance or financial services experience
  • FINRA Series 7 securities registration required; Series 24 within 3-6 months
  • Willingness to travel 40-50% of the time
  • Strong written and verbal communication skills
  • Detail-oriented with excellent analytical and organizational skills
  • Ability to meet deadlines in a fast-paced environment
  • Capacity to work with minimal supervision
  • Proficient in Microsoft Word and Excel

Responsibilities

  • Conduct on-site inspections of branch offices nationwide
  • Document audit findings in a timely manner
  • Communicate with advisors and home office employees about policies and procedures
  • Complete various compliance projects including drafting communications
  • Present at firm conferences and conduct continuing education teleconferences
  • Perform data analysis and internal compliance reviews
  • Execute other assigned tasks as required

Benefits

  • Opportunity for significant travel across the country
  • Dynamic work environment with a variety of tasks
  • Engagement with a broad network of financial professionals
  • Room for professional growth and advancement within compliance
  • Skills development through diverse compliance projects
Full Job Description
As a compliance advisor on the Branch Audit team, you'll be traveling to advisor offices nationwide to conduct on-site inspections (both scheduled and unannounced) to help us oversee the securities and advisory business of nearly 1,800 advisors. Your mission will be to ensure that each business is run in a manner that is consistent with both the spirit and the letter of industry rules and regulations, as well as the firm's compliance and supervisory programs, to decrease exposure to regulatory and financial risk.

You will need to be excellent communicators who are analytical and detail-driven. Being on the road and working with minimal supervision, they also must be skilled at managing their time and meeting deadlines.

As a compliance advisor on the Branch Audit team, your responsibilities would include:
Conducting on-site inspections of branch offices nationwide and documenting associated audit findings in a timely manner
  • Communicating regularly with advisors, as well as home office employees, regarding firm policies and procedures
  • Completing a variety of general compliance projects, such as drafting internal communications; presenting at firm conferences; conducting continuing education teleconferences, data analysis, and internal compliance reviews; and performing other tasks as assigned

The ideal candidate for this position would also meet the following requirements:
  • A minimum of 3 years of experience in compliance or the financial services industry
  • FINRA Series 7 securities registration required; FINRA Series 24 securities registration required within 3-6 months
  • Able to commit to traveling 40 percent-50 percent of the time
  • Excellent written and verbal communication skills
  • Detail-oriented with strong analytical and organizational skills
  • Ability to meet deadlines in a fast-paced environment
  • Ability to work under minimal supervision
  • Proficient in Microsoft Word and Excel

About Radial

Radial is a leading provider of e-commerce technology and operations solutions for retailers and brands. The company offers a range of services, including order management, payment processing, fraud detection, and customer care. Radial's solutions are designed to help retailers and brands improve their online shopping experiences, increase sales, and reduce costs. The company serves a wide range of industries, including fashion, beauty, electronics, and home goods. Radial is headquartered in King of Prussia, Pennsylvania, and has operations in the United States, Europe, and Asia.
Learn more about Radial
Size
7,000 employees
Industry
Business Services
Founded
1999
* Ladders Estimates

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