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Senior Compliance Officer – Retail Broker/Dealer

  • Location: Winter Park, FL
  • Job Type: Direct Placement
  • Ref No: 21-05098
  • Date: September 10, 2021
  • Job title:

Job Description - Senior Compliance Officer – Retail Broker/Dealer

Deputy CCO - Senior Compliance Officer – Retail Broker/Dealer

Job Description

Position Purpose:

This Senior Compliance Officer position will report directly to the Chief Compliance Officer of Retail Broker/Dealer.

Primary Responsibilities:

  • Demonstrates breadth of knowledge and experience in Broker Dealer and Investment Advisory Compliance through the offering of comprehensive answers, solutions, reports, presentations or otherwise
  • Assist CCO in overseeing RegBI compliance efforts, including development of training material and surveillance programs.
  • Review and update FORM CRS in coordination with Legal
  • Able to analyze impact of new rules and regulations on policies, operating systems, and reporting procedures
  • Assigned to and capable of handling more complex or highly technical Broker Dealer and Investment Advisory compliance functions on a routine basis with limited supervision required
  • Adds value through identifying compliance concerns, opportunities for enhanced efficiency or service improvement and formulates comprehensive solutions to address such matters
  • Able to take limited direction relative to assigned duties and devise appropriate solutions to achieve department and/or firm objectives
  • Regularly exercises initiative and independent judgment based upon sound reasoning
  • Monitors retail business activities to ensure the firm remains in compliance with its policies and procedures as well as industry regulations
  • Participates in the development and maintenance of comprehensive Written Supervisory Procedures relative to all aspects of retail compliance matters
  • Assists in the supervisory control testing process
  • Manage compliance surveillance and monitoring reports and other related source documents as assigned for suspicious/unusual or red flag patterns of activity.
  • Follow up with responsible area(s) for explanations and discussions for appropriate action
  • Approval of options accounts
  • Provide guidance, education and training to retail business lines, firm employees, and representatives on current and changing industry rules, regulations, compliance matters, firm policies and best practices
  • Develop positive relationships with business line partners.
  • Participate in specific compliance related projects as may be assigned from time to timeParticipate in other firm projects as may be assignedMaintain prompt and regular attendance

Job Requirements:

  • Bachelor's degree or equivalent financial industry experience
  • Client Series 4, 7, 9 & 10 or 24 and 63 or 66 and other licenses as may be required according to specific position responsibilities
  • Broad knowledge of an independent broker-dealer operating practices and more specifically rules and practices relative to areas of responsibility

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