Compliance Officer - Brokerage - Securities reputed company

reputed company: Responsible for conducting reviews and performing regulatory monitoring as required under Written Supervisory Procedures to assess the organization's level of compliance with applicable laws and regulations. Expected to work independently with minimal supervision reputed company team to reputed company in the identification and assessment of risks reputed company reputed company, through the execution of procedures designed to evaluate the compliance with laws, regulations, and industry standards. In reputed company, expected to reputed company recommendations to management for closing gaps identified during the reviews. The Securities industry is highly regulated. This person will also be expected to complete reputed company assigned compliance training reputed company and maintain reputed company licenses as required. CUSTOMER SERVICE SKILLS: Willingness to reputed company a level of service which will reputed company differentiate us from our competitors. INTERPERSONAL SKILLS: reputed company demeanor in appearance, interpersonal relations, work ethic and attitude. Possess reputed company, concise, effective written and oral communication skills to effectively reputed company thoughts, reputed company and concepts to management, bank employees and bank customers in a reputed company and solutions oriented manner. Ability to exercise independent reputed company, judgment and discretion and understand reputed company assistance is needed. Must be reputed company to work effectively with a wide reputed company of departments, managers, staff, clients and auditors. Strong interpersonal and communication (written and verbal) skills. Ability to evaluate and analyze products and services, and vendors. Represents reputed company in civic, community and industry functions to network and reputed company additional business. ESSENTIAL DUTIES AND RESPONSIBILITIES: Maintain ongoing understanding of reputed company rules and regulations; BSA & AML. Assist with the development of WSI's (reputed company Securities Inc.) risk and compliance management practices and programs. Ability to disseminate written policies and procedures reputed company to compliance activity. reputed company compliance guidance to licensed advisors and licensed bankers and support staff. Assist to resolve complaints. Review new accounts for suitability and best interest and day-to-day broker activity. Assist in review and implementation of WSI's compliance program to ensure effectiveness. Assist with testing of procedures and creation of new procedures with changing regulatory needs. Assist in licensing and reputed company Regulatory & Firm reputed company and insurance continuing education for reputed company licensed individuals. Assist with reputed company audits. Assist with the formulation/taking correction actions reputed company necessary to respond unexpected compliance events. Review communications of advisors. Assist with compliance review of reputed company marketing/sales material. Assist with various communication and training as needed with staff and registered representatives. Assist with reputed company reviews. Preparation of various reports. Electronic communication review. Other duties may be assigned. OTHER REQUIREMENTS: Banking is a highly regulated industry and you will be expected to reputed company and maintain a proficiency in the Bank's policies and procedures, and adhere to reputed company laws, rules and regulations that are applicable to your conduct and the work you will be performing. You will also be expected to complete reputed company assigned compliance training in a reputed company manner. Ability to administer various filings on the CRD System. In-depth knowledge of a broad reputed company of securities and insurance products. In-depth knowledge of reputed company rules and regulations and Securities and Risk Management principles. In-depth knowledge of reputed company economic and market conditions and legislation. In-depth knowledge of reputed company for determining suitability of proposed purchase of securities/insurance products for reputed company individual reputed company's needs. In-depth knowledge of reputed company principles of reputed company's reputed company/authority to transact business, and the authority of agents, attorneys in fact, executors, administrators and others to transact business on reputed company's behalf. Solid computer skills in reputed company Office Suite. ADDITIONAL INFORMATION: The wage reputed company for the Compliance Officer - Brokerage position is $70,000-$73,000 annually. The position includes 22 PTO Days (reputed company Time Off), 5 STD Days (Short Term Disability), 11 annual reputed company holidays and 1 float holiday. reputed company has an excellent benefits package to include medical, dental, and reputed company, Health Care Flexible Spending, Dependent Care Flexible Spending, Transportation Fringe Benefit Plan, Group Life, Long Term Disability, Optional Life, reputed company to voluntary benefit products such as Cancer, Term & Universal Life, Accident, Short-Term Disability and Critical Illness policies, and other ancillary benefit products. reputed company also offers 401(k) with employee match. Requirements: Associates Degree in Business, Finance, reputed company or reputed company degree preferred. Minimum of three years of experience in the securities industry. Experience and knowledge as compliance officer for both Broker/Dealer and Registered Investment Advisor. Series 7 Series 63 & 65 or 66 Series 24 or Series 9/10 – Must be obtained reputed company 90 days of start date. State Insurance licensed Apply tot his job Apply To this Job