Jr. Operations/Compliance Analyst
Hire Connections Englewood, CO
- Expired: over a month ago. Applications are no longer accepted.
Growing Broker-Dealer / RIA located in the DTC area is searching for a “Junior Operations / Compliance Analyst” professional to join their existing team!
This role is critical to the overall compliance initiatives and requires an experienced compliance professional with a results-oriented approach to resolving various compliance issues and achieving multiple compliance objectives.
We are looking for a team player that enjoys a small office environment and will contribute to our dynamic culture.
The ideal candidate will be results-oriented and responsible for assisting in back-office compliance and operations to support Investment Adviser Reps and Registered Reps.
Assist CCO in administering and operating day-to-day broker-dealer and RIA compliance program.
Works with compliance team to develop, train and administrate the programs that assure the activities of Registered Personnel and Associated people comply with all applicable laws, regulations and company compliance rules
Responsible for the processes associated with and the supervision of registered representative and investment advisor representative registration and licensing, outside business activities, and outside accounts.
Supervise the daily review and approval of communications intended for public distribution or viewing. Answer questions from financial advisors, branch managers, and others pertaining to the submitted materials and required changes, if required. Oversees, manages and reviews e-mail and social media review system.
Conducts representative and branch compliance audits, recommending appropriate corrective action.
Assists in maintaining and updating as necessary, Written Supervisory Procedures, Anti-money Laundering Program and Business Continuity Plan. Create policies and procedures relevant to applicable rules, standards, and best practices. Provide interpretation and guidance to internal associates on questions related to the firm's compliance policies and procedures. Assist in the creation of other compliance policies and procedures as required. Conduct applicable testing and assist in developing reports.
Review and approval of account documentation and suitability review of securities transactions.
Bachelor’s degree preferred
Minimum 2+ year direct experience in Broker-Dealer Compliance required
Licenses: Series 7 & 24
Experience with the ORION database is highly desirable
With over 50 years of staffing experience and 10 years of continued growth within the life of Hire Connections, we will elevate your level of staffing expectations and career choice opportunities.
HIRE CONNECTIONS serves primarily the greater Metro Denver area. We are locally based and female-owned business. Our approach to employment is progressive by understanding the specific and personal needs of what makes a great CONNECTION. With over 50 years of staffing experience and 10 years of continued growth within the life of Hire Connections, we will elevate your level of staffing expectations and career choice opportunities.
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