Qualifications

• 2+ years of experience in wealth management or brokerage compliance.
• High School Diploma or equivalent required; Bachelor’s degree preferred in related field.
• Must hold Series 7, Series 9/10, and Series 66 (63/65) licenses.
• Strong understanding of FINRA and SEC regulations and suitability guidelines.
• Proficiency with alternative investments, structured products, and traditional securities.
• Excellent verbal communication and organizational skills.

Responsibilities

• Monitor advisor activities for compliance with policies and regulations.
• Conduct regular supervisory reviews of advisor transactions and documentation.
• Collaborate with Compliance on policy input and supervision oversight.
• Ensure client account setups comply with KYC/AML regulations.
• Lead and support various projects and operational initiatives with management.
• Authorize new accounts, trade exceptions, and investment recommendations.
• Maintain documentation and prepare reports for regulatory examinations.
• Identify and escalate potential regulatory or reputational risks promptly.

Benefits

• Opportunity to work in a dynamic, fast-paced environment.
• Collaborative work culture emphasizing teamwork and initiative.
• Exposure to a wide range of investment products and regulatory practices.
• Opportunities for professional growth and skill development.
• Involvement in projects that impact company-wide policies and compliance standards.