Compliance Principal

Position Title:    Compliance Principal

Reports to:        Compliance Manager

Department:     Compliance      

Location:            Littleton, CO; hybrid/remote position

Classification:    Full-time, Exempt

Summary / Job Objective: 

As a Compliance Principal, the role will involve working with designated supervisors, financial professionals, back office staff and the occasional outside vendors. This individual should have industry knowledge and an eagerness to learn more compliance responsibilities of a Broker Dealer.  

Primary Responsibilities:

·       Review communication through 3rd party vendor correspondence and escalate issues  

·       Perform independent projects for the Compliance Manger as needed 

·       Provide back-up support to Compliance Department Team as needed 

·       Manage the completion of numerous regular (monthly, quarterly and annual) compliance department tasks 

·       Review and accept or decline Outside Business Activity submissions  

·       Review and approve social media/ company websites for compliance with applicable laws, regulations, and internal policies. 

·       Monitor and review business transactions for suitability, fraud, and/or other questionable behavior 

·       Research and respond to comments and / or inquiries regarding advertising  

·       Create new and manage existing spreadsheets, reports, dashboards, using Excel and sales force reporting tools 

·       Duties, responsibilities, and activities may change or new ones may be assigned at any time with or without notice

Qualifications:

·       Bachelor’s degree in a related field or the equivalent combination of education and/or related experience

·       Currently hold either a Series 6 or Series 7 

·       Advanced Microsoft Excel skills (i.e., macros, pivot tables, etc.)  

·       Ability to work alone without major guidance as well as a strong team player 

·       Good customer service skills; involves interaction with internal and external individuals 

·       Attain series 26 or 24 within six months 

 Core Competencies:

·       High energy and enthusiasm, with a strong commitment to exceeding my expectations 

·       Flexibility and openness to work on a variety of assignments 

·       Ability to learn quickly, make an immediate impact, and provide value-added services 

·       Confidence in professional aptitude and ability to effectively convey skills and knowledge  

·       Outstanding organizational, time management and follow-up skills to effectively plan and take tasks to completion within specified time frames

·       Takes responsibility for errors and applies new knowledge to next situation

Compensation & Benefits:

Compensation (based on experience)

• Base salary:  $65,000 - $75,000
• This is an Exempt position
• Annual performance bonus target:  7%

Benefits

• Employee benefits (medical, dental, vision, life insurance, other)
• 401k with employer match
• Paid Time Off

Location:  26 W. Dry Creek Cir., Suite 800 Littleton, CO 80120

• This role can be hybrid, with in-office and remote work locations
• This role can be full remote, for the right candidate