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Compliance Officer in Garden City, NY at Risk Strategies

Date Posted: 1/10/2019

Job Snapshot

Job Description

The Compliance Officer will be in charge making sure that all of our books and records are in order. They will interface and partner with our Broker Dealer, Securities America to manage our compliance protocols. Our group specializes in sales and service of qualified and non-qualified retirement plans, wealth management programs, and individual life, disability and long term care insurance.

  • Oversee all aspects of compliance related to the operation of an SEC registered U.S. Investment Advisor and international compliance programs
  • Ensure business meets requirements of the Rules and Regulations of the U.S. Investment Advisors Act 1940, as well as other relevant U.S. regulations including Securities Act 1933, Securities Exchange Act 1934, ERISA
  • Maintain and update Risk oversight of policies and procedures including Forensic Testing
  • Complete and maintain SEC regulatory filings and disclosure documents
  • Develop and implement compliance training programs
  • Prepare committee reporting and compliance assessments on an annual basis
  • Oversee compliance standards, requirements and expectations of firm
  • Coordinate approval of client marketing materials, presentations and commentaries
  • Partner with members of Senior Management to engage in strategic planning and support ongoing business initiatives
  • Process new business for the office and ensure that forms are compliant and in good order
  • Assist in the general supervision of the Equity sales and training department as delegated by department leadership.
  • Work with trading support to implement workflows and systems configurations that comply with department policies.
  • Conduct reviews of registered representatives, registered principals, other associates and certain third-party service providers to ensure compliance with applicable laws, regulations and rules and compliance policies and procedures; Prepare written reports of results of reviews.
  • Plan and schedule inspections of branch and non-branch locations; Analyze data obtained from inspections and prepare written inspection reports.
  • Conduct E-mail surveillance and administration of e-mail review system.


Job Requirements

  • Series 65 or 66 License
  • Series 7, 24 and life insurance license preferred
  • Knowledge of life insurance and annuity insurance is a plus
  • Strong knowledge of FINRA & SEC requirements
  • Knowledge and understanding of regulations with Personal Compliance issues (employee trading & outside activity disclosure)
  • Working understanding of the financial industry as a whole
  • Working knowledge of suitability review
  • Knowledge or experience in insurance advertising regulations
  • Working understanding of life insurance industry and insurance products
  • Experience in advertising review of marketing materials
  • Excellent communication skills, sound decision making capability and assertiveness
  • Bachelor’s degree or equivalent work experience