Compliance Officer - Boston, United States - Harrison Gray Search

Harrison Gray Search Boston, United States

3 weeks ago

Description

Harrison Gray Search has partnered with one of the oldest, most reputable investment advisors in the country to find its next Compliance Officer.

The Compliance Officer is an integral part of the Compliance teams mission to conduct business consistent with the highest standards of commercial honor and just and equitable principles of trade. Occupied by a dependable individual with poise, attention to detail, and leadership abilities, this position is impactful not only in the compliance department but across the firm as they interact with all business units on a consistent basis. This position has a vast range of compliance-related responsibilities in which the Compliance Officers scope of knowledge, communication, teamwork, collaboration, and integrity is paramount to its success.

This full-time role reports to the Chief Compliance Officer. Working hours are Monday - Friday 8:30 AM to 5:00 PM EST. The position is based in the Boston branch office.

Role Responsibilities

General Responsibilities (80%)

Promote, protect, and set the tone to reflect the Companys reputation for ethics, integrity, and honesty in all dealings
Advise and manage a broad spectrum of regulatory obligations and restrictions encompassing business initiatives and product approvals
Investigate potential violations of industry and firm policies, procedures, and best practices from start to finish, as warranted
Assist the Chief Compliance Officer with regulatory exams, audits, branch audits, and information requests
Maintain a thorough and up-to-date understanding of applicable regulations and rule proposals impacting the Firm's business activities and communicate, as needed, to executive management team and financial advisors
Review and approve advertising, sales literature, public speaking requests, and website and social media content
Write, update, communicate, and enforce yearly compliance policies and written supervisory procedures
Serve as Master Account Administrator and Compliance Contact for MSRB
Respond to state registration inquiries
Create 13F quarterly reports
Serve as STC and SMARSH main point of contact and account administrator for regular reporting
Review and approve New Issues, Secondary Offerings, Annuity, Direct Participation, and Direct Business
Formulate, review, and update Business Continuity Plans and Privacy Policy annually
Conduct annual Supervisory and Controls testing
Perform firm element training and needs analysis and administer Firm Element Training
Be an active member of the AML Committee & Best Execution Committee
Help maintain a consultative compliance department

Entity/Specialty Responsibilities (20%)

For Orange Futures and Commodities:

Serve as primary compliance contact for Commodity Business
Conduct, implement, and monitor training regarding cybersecurity testing, ethics, and AML
Perform annual audit of commodities business unit
Complete annual Vendor Risk Assessment and NFA renewals

For Direct Investments (i.e. Tax-Shelters):

Review, monitor, and approve all deal agreements

Key Measurements

Effectiveness in enacting and enforcing compliance policies and procedures firm-wide
Thoroughness and accuracy of assigned tasks both firm-wide and within specialties
Accomplishment of annual organizational, team and personal goals as communicated by management
Ability to create and maintain positive working relationships with colleagues and provide consultative compliance support

Minimum Requirements

Minimum 5 years of experience in a regulatory compliance or branch supervisory function for a broker-dealer and/or investment advisor
Bachelors degree in a business-related field
Series 7, 66 (or 63 and 65), 24
Proven ability to multitask, work well under pressure, and make independent decisions
10% domestic travel for branch exams and industry conferences; experience with branch exams required
Competent in the following knowledge areas, skills, and abilities
Critical & Analytical Thinking
Inductive & Deductive Reasoning
Reading & Writing Comprehension
Active Listening
Performance Monitoring
Persuasion & Negotiation
Knowledge of Securities Regulation and Investment Advisory
Social Perceptiveness
Empathy
Training & Instruction
Customer Service
Time Management
Finance
Clerical & Administrative Work

Preferred Qualifications

Experience using DocuSign, Adobe Acrobat, Bridger, Red Oak, Red Ed, Smarsh, and LinkedIn
FINRA Series 3

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