- Conduct onsite/remote branch reviews as part of risk-based internal branch examination process
- Perform daily trade blotter review and approval with a focus on exception reports
- Assist with performing firm's annual supervisory controls and verification testing
- Review, investigate, and clear all daily Trade Summary Monthly, Account Periodic, and Account Rank surveillance reports
- Review and approve Advertising/Sales Literature/Public Speaking/Trade Corrections, Annuities, and Direct Business, etc. on RedOak
- Perform investigations of potential violations of industry and firm policies, procedures and best practices (document findings and report to CCO)
- Conduct email, instant messaging, social media, and other electronic communication surveillance in accordance with firm policy and involve Branch Management as needed
- Monitor Firm and Regulatory Element Continuing Education training
- Research and respond to regulatory information requests
- Work closely with Branch Managers on investigations involving trading activity in their respective branches
- Review and oversee active/inactive accounts, advisor account cash balances, and Quarterly Fees
- Enhance and implement Compliance policies, processes, and procedures
- Organize outside brokerage account approvals and review trading activity in employee outside accounts
- Serve as administrator for various compliance applications such as Bridger, Red Oak, Red Ed, Smarsh, LinkedIn etc.
- Keep abreast of changes in regulatory rules and guidelines
- Send various approved firm letters and notifications to customers, as needed
- Organize and maintain content on Compliance Intranet site
- Maintain Compliance files for the Department
- Take initiative in career growth by engaging in provided development opportunities
- Be an active culture carrier within teams and contribute to a positive team morale
- Other projects as assigned
- Ability to build rapport with internal and external contacts
- Thoroughness and accuracy of assigned task including but not limited to branch exams, controls testing, continuing education and social media oversight
- Accomplishment of annual organizational, team and personal goals as communicated by management
- Bachelor's degree in a business related field
- At least 2-5 years in a compliance or risk role for a broker dealer and/or investment advisor
- FINRA Series 7, 24, and 63/66
- Confident in using Microsoft Office Suite and Google Suite
- Strong interpersonal skills
- Ability to maintain confidentiality
- Prior experience with compliance-related monitoring systems
- Up to 10% domestic travel for branch exams
- Competent in the following Knowledge, Skills, and Abilities:
- Customer Service
- Attention to detail
- Clerical Work
- Reading, Writing, and Oral Expression and Comprehension
- Basic Math
- Social Perceptiveness
- Time Management
- Empathy
- Critical Thinking and Problem Solving
- Deductive and Inductive Reasoning
- Social Media
- Experience using DocuSign and Adobe Acrobat
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Description
Harrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Analyst.The Compliance Analyst is an integral member of the Compliance department that has a mission to conduct business consistent with the highest standards of commercial honor and just and equitable principles of trade. Keeping their customers' interests foremost is key to our clients' success. Compliance is an integral part of serving our customers and therefore the firm's success. The primary focus of this specific position is oversight and surveillance to protect and safeguard our client, its registered individuals, and the clients they serve. This position exemplifies our clients' core values of Integrity, Service is Personal, One Team, Communication, and Initiative by communicating with employees regularly, maintaining confidentiality, performing assigned duties ethically, and being a key support structure within the Compliance team. By being an active, collaborative, and engaged employee, this role provides room for growth and advancement opportunities.
This full-time role reports to the Chief Compliance Officer. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. This role is open to be located in any office with hybrid flexibility (Boston, MA; Alexandria, VA; Naples, FL; Phoenix, AZ; Westport, CT; Winter Park, FL).
Role Responsibilities
