About this PositionThe Securities Compliance Department of a Broker-Dealer and Registered Investment Adviser has an opening for a compliance professional or attorney to join a team of Compliance Attorneys, Compliance Officers and Compliance Analysts. This role is responsible for reviewing securities laws and regulations, developing policies and procedures sufficient to comply with regulatory requirements, conducting compliance testing to identify and manage regulatory risk, and responding to regulatory inquiries and examinations. This person will also be responsible for understanding the securities products offered by the Firm, and providing guidance and training to the business and registered representatives.
This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.
The estimated salary range for this role is $90k - $95k Annual
Responsibilities & QualificationsESSENTIAL DUTIES & RESPONSIBILITES:- Conduct investigations into potential unusual activity and potential elderly/vulnerable exploitation and determine if there is required regulatory reporting
- File required Suspicious Activity Reports (SARs) with FinCEN and conduct required follow up investigations
- Run and research weekly AML reports, such as OFAC and 314(a) and ensure required reporting is made timely
- Review on all new entity account applications for potential AML concerns
- Conduct research on clients and entities investing large dollar amounts to verify source of funds and deter money laundering
- Contact representatives and clients to investigate and detect potential unusual activity and/or elderly/vulnerable exploitation
- Aid in the improvement of tools to monitor, analyze, and report suspicious activity such as conducting high risk jurisdiction reviews
- Conduct an annual AML risk assessment
- Assist in regulatory examinations and inquiries related to AML
- Coordinate with an outside consulting firm to conduct the annual independent review of the Firm's AML Program
- Provide AML and Senior and Elderly exploitation guidance and training to the business and the salesforce
- Work with the transfer agent and outside fund companies to place freezes on accounts when necessary
- Maintain and enhance AML policies and procedures, including the AML Program and CIP Program
- Maintain the AML Identity Theft Prevention Program
- Help with identifying any AML loopholes and coordinating projects to bridge those gaps
REQUIRED QUALIFICATIONS:- Bachelor's Degree
- 2+ years of professional experience, preferably in the investment industry
- Securities licenses (e.g., SIE Exam, Series 7, 24 and 66), or obtained within 150 days of hire
- High degree of attention to detail and thoroughness are essential for this role
- Self-starter and excellent analytical skills
- Ability to manage multiple priorities in a fast-paced, everchanging environment
- Ability to create clear, convincing, well-organized presentations and communications
- Detail-oriented with aptitude for identifying risk and capability to research complex problems and collaborate to create solutions
- Ability to conduct research and provide management with proposed solutions
- Strong investigative and analytical skills as well as problem-solving and critical-thinking skills
- Strong sense of ethics, accountability, and judgment
- Great listening and communication skills with an ability to nurture positive relationships
- Excellent Word, PDF, Excel, and PowerPoint skills
- Excellent analytical, research, and writing skills
- Excellent interpersonal relationship skills
- Excellent verbal and written communication skills and presentation skills
- Excellent organizational skills with the ability to handle multiple projects with attention to detail
PREFERRED QUALIFICATIONS:- MBA, Juris Doctorate or other advanced degree
- 2-5 years of experience in the financial services industry
- Strong working knowledge and understanding of US securities laws and regulations, including Bank Secrecy Act (BSA), OFAC and FinCEN regulations
- Anti-Money Laundering (AML) experience, experience with AML surveillance systems (i.e., Actimize) is a plus
- CAMS certification
- Experience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each state
- Comprehensive understanding of mutual funds, annuities and/or advisory products
- Strong project management skills
- Experience with FINRA Gateway and/or WebCRD
FLSA status:This position is exempt (not eligible for overtime pay):
Yes
Our Benefits:- Day one health, dental, and vision insurance
- 401(k) Plan with competitive employer match
- Vacation, sick, holiday and volunteer time off
- Life and disability insurance
- Flexible Spending Account & Health Savings Account
- Professional development
- Tuition reimbursement
- Company-sponsored social and philanthropy events
