SUMMARY

The Compliance Officer will assist with the monitoring and administration of the Firm’s Compliance and AML programs to ensure accordance with regulatory requirements.

PRIMARY FUNCTIONS AND ESSENTIAL RESPONSIBILITIES

• Assist in the administration of the Firm’s Compliance and AML programs.

• Assist with the administration of the Firm’s Code of Ethics and Code of Business Conduct, including but not limited to the review & maintenance of staff personal dealing accounts, including related documentation, restricted lists, and trade pre-clearance, management of staff compliance training & certifications, and monitoring outside business activities.

• KYC & AML review of customer accounts upon new account opening and periodically as necessary

• Assist with broker-dealer licensing and registrations including processing U4/U5 submissions and amendments.

• Assist in ensuring the timely and accurate filing of regulatory reports for the broker-dealer.

• Help evaluate the adequacy and effectiveness of policies, procedures and internal controls.

• Investigate compliance issues as needed and report findings back to Compliance and senior management.

• Perform general compliance and AML related functions as instructed

• articipate in compliance related projects, complete internal filings and reports, and any ad hoc requests

• Run required reports in a timely manner i.e. FINRA Reports, OFAC Reports, FinCen Reporting, etc.

• Maintain professional growth and development through seminars, workshops and professional affiliations to keep abreast of the latest developments in broker-dealer related compliance areas.