Compliance Administrator

Description:

To apply: appone.com/MainInfoReq.asp

Essential Functions
This job description is an overview and not designed to cover or be a comprehensive list of activities, duties, or responsibilities that are required of this position. Activities, duties, or responsibilities may change at any time with or without notice. Crews may require employees to perform functions beyond those contained in this job description.
To perform this job successfully, an individual must be able to perform each of the following Essential Duties satisfactorily.
• Review Reverse Churning Reports and Daily Blotters.
• Review Trade Exception Reports detailing trades for clients who reside in a state in which their registered representative is not registered, and send necessary correspondence.
• Assist in branch reviews.
• Review institutional and retail accounts on a monthly basis for suitability.
• Oversee Continuing Education: FINRA (Regulatory Element) and Insurance Agents.
• Open qualifying securities exam windows and order study material.

Assist with:
o Web Central Registration Depository (CRD) and Investment Advisor Registration Depository ([ARD): individual and organizational current deficiencies; denied and pending individual registrations.
o Annual Registrations Renewal: reconciliation and employee payroll deduction.
o Individual state registrations: charges, Form U4 Amendment, updates (CRD, Microsoft Dynamics CRM records, Crews Liner (2019's new Renewal Report), SunGard (FRMREP and FRMREG), and *representative states spreadsheet), and Form US Partials (completed to facilitate the action of dropping a state registration). *The spreadsheet keeps track of the financial ramifications, for the firm and the employee, of all state registrations. As states are added or dropped, this spreadsheet is amended.
o FINRA Form BD Amendments, BR Creation and Amendments, U4, US, and NRF filings.
o SEC and state investment advisory forms and notice filings, including Forms ADV.
o Send Quarterly Compliance Questionnaire.
o Log duplicate trade confirmations from outside accounts.
o Log retail budget separated by year, including but not limited to advertising and sponsorships.
o Recommend new policies, approaches, and procedures.
Competencies (Preferred or capable to quickly learn)
• Knowledge of:
o FINRA Gateway, CRD, and JARD.
o EMMA.
o Financial concepts, calculations and verbiage.
• Proficiency in research, writing, and analysis (Microsoft Office, Excel, PowerPoint, Outlook).
• Strong organizational skills with the ability to multi-task.
• Excellent time management skills and the ability to prioritize work.
• Detail oriented and concise.
Work Schedule
• Days: Monday - Friday
• Time: Generally, an 8:00 a.m. to 5:00 p.m. schedule.
• Lunch: Flexible. A lunch hour is permitted, but the Project Manager may be expected to work through lunch on occasion if the work situations dictates it.
• The supervisor may adjust the Project Manager's work hours depending on the need.
• Notification to, and approval from, the employee's supervisor is required if the employee plans to be absent for any reason.
• The Project Manager may be required on occasion to work and respond to work e- mails outside of normal business hours.

Vacation Time
Standard Crews benefit.

Work Environment
The work environment is primarily in a climate-controlled office building or traveling in a vehicle.
Physical/Mental Requirements
The employee spends time writing, keyboarding, speaking, listening, lifting, carrying, seeing (such as close, color and peripheral vision, depth perception and adjusted focus), sitting, pulling, walking, standing, squatting, kneeling, and reaching. The employee may operate any or all of the following: telephone, smart phone, copy and fax machines, personal computer, printers, or other equipment as directed.
The employee must be able to read and understand documents, instruments, and reports; perform detailed work; and problem solve. The employee must also display proficiency in customer contact, analytical reasoning, math, language, presentation skills, and verbal and written communication. The employee must be able to effectively manage stress, multiple concurrent tasks, and constant interruptions.

Requirements

Education/Experience
• College degree with five plus years' experience in the finance industry or management preferred; commensurate business, finance, or regulatory experience may be considered.
• Specified securities industry licensure exams, including but not limited to the following FINRA Series Designations: SIE, 7, 66, 24, 53, and relevant insurance industry licensure as required.

To apply: appone.com/MainInfoReq.asp

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