Compliance Officer – Office Exams

🕒 Outubro 29

🇺🇸 Estados Unidos – Remoto (EUA)

💵 $110.000 / ano

⏰ Tempo Integral

🟡 Pleno

🟠 Sênior

🚔 Conformidade

👻 Score fantasma 0%

O que significa: a chance de ninguém estar realmente contratando para esta vaga.Como ler: 60% ou mais significa que achamos que é uma vaga fantasma. Pontuações mais baixas preocupam menos.Por que essa pontuação:

• Aberta há 12 dias.

Candidatar-se

Encontrar Vagas Remotas Similares

Hightower Advisors

SiteLinkedInTodas as Vagas

201 - 500 funcionários

Fundada em 2008

💸 Finanças

💼 Consultoria

💰 GROWTH EQUITY VC em 2020-12

Finance • Consulting

A Hightower Advisors é uma empresa de gestão patrimonial e consultoria de investimentos registrada (RIA) que apoia uma comunidade de consultores financeiros independentes. A empresa oferece serviços de investimentos, planejamento financeiro e planejamento de aposentadoria para pessoas físicas, fundações e family offices, além de consultoria em planos 401(k) e serviços de gestão de caixa corporativo para empresas. A Hightower também disponibiliza soluções de capital, suporte operacional e escala para ajudar consultores independentes a expandirem seus negócios. A empresa está sediada em Chicago e conta com consultores em todo os Estados Unidos.

Descrição

• Conduct routine and for-cause office examinations of branch offices, OSJs, and advisory locations, both onsite and remotely • Evaluate compliance with SEC regulations, including the Investment Advisers Act of 1940 • Evaluate compliance with FINRA rules, including supervision under Rule 3110 and communications • Evaluate compliance with applicable state regulations • Evaluate compliance with firm policies and written supervisory procedures (WSPs) • Perform testing and review of sales practices and suitability, advertising and communications, books and records, outside business activities and private securities transactions, fee billing and advisory practices, cybersecurity and safeguarding of client information, and firm policies and procedures • Escalate findings or potential violations to compliance leadership • Document examination findings, risk impact assessments, and proposed remediation protocols • Prepare and distribute examination finding reports • Track remediation efforts and follow up with business partners to ensure timely resolution • Maintain accurate examination books and records, findings reports, and supporting documentation • Help refine examination procedures, checklists, and risk-based methodologies • Identify trends or recurring issues and provide input to enhance policies, procedures, and training • Support SEC, FINRA, and state regulatory examinations by gathering documentation and responding to requests • Report to the Executive Director of Compliance Review

🎯 Requisitos

• 3–5 years of experience in compliance, supervision, audit, or a related function within a broker-dealer or RIA • Working knowledge of SEC and FINRA regulations, particularly branch supervision and office inspection requirements • Experience conducting compliance testing, audits, or office examinations preferred • FINRA licenses (e.g., Series 7, 24, 65/66) preferred or willingness to obtain • Ability to independently analyze issues and requirements with the understanding of business practices • Responsive and proactive, able to work autonomously or collaboratively, depending on circumstances • U.S. citizen, U.S. permanent resident, or other unrestricted U.S. work authorization • Will not require sponsorship for U.S. work authorization now or anytime in the future

🏖️ Benefícios

• Coverage on the first day of employment for medical, dental, and vision insurance • Paid parental leave (16 weeks for primary caregiver and 8 weeks for secondary caregiver) • Flexible PTO plan • 401k matching plan • HSA employer contributions • Student loan assistance • Pet insurance • Discretionary bonus

📊 Verifique sua pontuação de currículo para esta vaga

Melhore suas chances de conseguir uma entrevista verificando sua pontuação de currículo antes de se candidatar.

Enviar Currículo