Compliance Auditor

Compliance Auditor

Job Category: Compliance

Location: Little Rock, AR 72201, USA

Description

Essential Duties and Responsibilities

• Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations
• Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance.
• Assist in annual compliance interviews or meetings with all registered representatives and associated persons.
• Assist in preparing responses to broker/dealer questionnaires.
• Provide support to branch office managers and branch personnel regarding compliance.
• Assist in providing training to new employees in Branch Offices.
• Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required.
• Perform other functions and tasks as may be assigned by management.

Education and/or Experience

• Bachelor's degree in a related field.
• 3+ years of related experience and/or training preferred
• Experience in compliance auditing with a securities and/or investment company desired.
• Equivalent combination of education and experience.

Certifications, Licenses, and Registrations

(may be acquired within six months after employment)

• SIE Securities Industry Essentials
• Series 7 General Securities Representative
• Series 63 - State Law Exam

Equal Opportunity Employer