Job Description

Job Description

Job Description

Essential Duties and Responsibilities

• Support compliance efforts related to supervisory oversight, training, e-mail surveillance, branch office exams, FINRA licensing and registrations, anti-money laundering supervision, and advertising

• Work with senior management, Legal, Compliance, HR, Marketing, registered representatives, and other key constituencies to train, promote and enhance a culture that encourages ethical conduct and a commitment to compliance with applicable laws and regulations

• Monitor the effectiveness of established compliance processes and controls across all business lines and recommend and implement enhancements; work in conjunction with department managers to update the Firm's Written Supervisory Procedures (WSPs) based on new rules and regulations and/or process enhancements and communicate such changes simply and efficiently to affected business units in order to minimize bureaucracy and process burden
• Provide advice on FINRA, and SEC rules, regulations and interpretive guidance, as well as applicable internal policies and procedures
• Proficient in time management and able to initiate and manage projects

• Mange KYC process on new customers, enforce accurate review of OFAC searches

• Assist with managing regulatory exams, investigations and inquiries conducted by FINRA, SEC and state regulators coordinating with regulators, auditors, compliance personnel and each business unit management

• Continually assess the inherent risk of business units as well as the effectiveness of mitigating controls to minimize the residual risk of reputational damage, regulatory consequences and other operational risk

• Assist with the supervision of sales related activities

• Integrate industry benchmarking and best practices through ongoing research, education, and industry affiliations

• Develop and conduct compliance training ensuring courses are compatible with regulations

Qualifications

• Bachelor's Degree or equivalent work experience

• Series 7, 24, 14, 55, 63, 79, 82, and other regulatory licenses desired

• At least 3 years working for a broker-dealer, with at least 2 years of compliance experience

• Experience with Private Placement, DPP's, Structured products, and equity securities required

• Robust knowledge of and experience with FINRA, and SEC rules

• Experience coordinating broker-dealer regulatory exams and responses
• Possess a genuine love for compliance

A growing private equity, investment banking family office focused on the small-cap to mid-cap (public & private) markets is seeking to add Sales Associates and experienced producers for the venture capital and business development divisions. The ideal candidate will assist in raising capital from institutional and retail investors for private placement opportunities across various sectors: energy, food and education technology, life sciences, and real estate development.

Company Description

A growing private equity, investment banking family office focused on the small-cap to mid-cap (public & private) markets is seeking to add Sales Associates and experienced producers for the venture capital and business development divisions. The ideal candidate will assist in raising capital from institutional and retail investors for private placement opportunities across various sectors: energy, food and education technology, life sciences, and real estate development.

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