Senior Compliance Officer

Position: Senior Compliance Officer

Company Description

B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research. 

Position Overview

1. Work closely with the Chief Compliance Officer to continue the ongoing development of the Firm’s comprehensive compliance program and to proactively maintain it.
2. Represent the Compliance Department on various cross-functional project teams and ensure that appropriate compliance guidance and resources are provided/allocated to adequately support the completion of the teams’ goals.
3. Be responsible for managing and completing “Compliance Projects” as assigned by the Chief Compliance Officer , which will continually vary based on existing needs and ongoing risk assessments of the firm and its operations.
4. Be responsible for developing, maintaining and updating the Compliance Department’s written standard operating procedures.
5. Oversee and conduct internal investigations into compliance violations.
6. Perform regulatory and other research when and as necessary in order to resolve issues and determine the appropriate course of action; coordinate with legal counsel to draft written memorandums and briefs for various internal stakeholders with respect to such matters.
7. Prepare clear and concise reporting on assigned Compliance Projects to the Chief Compliance Officer, highlighting potential areas of concern and offer recommended strategies and/or solutions.
8. Help foster a culture of compliance within the organization where employees are encouraged to ask questions and raise concerns without fear of retaliation.
9. Stay current on relevant regulations and industry best practices.
10. Perform other duties as assigned.

Education, Experience and Skills required:

1. Bachelor’s degree in Business, Law, Finance, Economics or related field.
2. Minimum of 8-10 years of regulatory compliance experience in the securities industry.
3. Minimum of 3 years of supervisory experience required.
4. Valid FINRA SIE, Series 7, Series 24 License preferred.
5. Recognized compliance certificate or equivalent preferred.
6. Detailed knowledge of consumer protection regulations and related marketing and advertising guidelines.
7. Skilled knowledge of regulatory/ compliance requirements and the operations of a single client group.
8. Strong communication, critical thinking, relationship management and project management skills.

B. Riley Securities, Inc. employees enjoy competitive salaries, access to our 401(k) retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage. 

Inclusion and Equal Opportunity Employment: B Riley Securities is an equal opportunity employer committed to diversity and inclusion. We are pleased to consider all qualified applicants for employment without regard to race, color, religion, sex, sexual orientation, gender identity, national origin, age, disability, protected veterans status, Aboriginal/Native American status or any other legally-protected factors.