Compliance Principal

Job not on LinkedIn

🔥 2 minutes ago

🇺🇸 United States – Remote

💵 $70k - $110k / year

⏰ Full Time

🔴 Lead

🚔 Compliance

🦅 H1B Visa Sponsor

This company has sponsored H1B visas in the past.

👻 Ghost score 0%

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Mutual Group

WebsiteLinkedInAll Job Openings

51 - 200 employees

Founded 1982

💼 Consulting

🛡️ Insurance

💸 Finance

Consulting • Insurance • Finance

Mutual Group is a financial services firm dedicated to empowering investment advisors with personalized solutions. They focus on helping advisors grow their businesses through investment management, technology support, compliance assistance, and staffing resources. With over $13 billion in assets under management, Mutual Group provides a comprehensive suite of services designed to simplify operations and enhance client service, allowing advisors to focus on their unique business goals.

📋 Description

• Review surveillance reports and trade alerts for client and employee accounts • Resolve sales practice concerns within the expected service level • Perform secondary reviews of high-risk accounts and complex transactions • Approve transactions requiring principal review • Investigate issues, document findings, and drive corrective actions with advisors and business units • Review insurance and annuity recommendations and transactions for suitability and supervisory requirements • Escalate exceptions and work with advisors and internal teams to resolve them • Run AML and CIP monitoring, conduct investigations and due diligence, and document outcomes • Recommend enhancements to AML and CIP procedures as rules and risks change • Monitor portfolios for concentration, suitability, and portfolio management risks • Produce compliance metrics and trend analyses and propose improvements • Work the Compliance case queue and handle advisor and client inquiries • Compile data and exhibits for regulatory examinations, inquiries, and internal reviews • Help draft responses as directed • Create and deliver targeted training and job aids as rules evolve • Provide backup coverage for advertising and correspondence review, branch examinations, and regulatory filings

🎯 Requirements

• Bachelor's degree in business, finance, or a related field, or equivalent industry experience • Five (5) or more years of broker-dealer or RIA compliance experience, including principal-level review and approval • Active Series 7, 24, and 63 licenses • Working knowledge of SEC and FINRA rules, AML and CIP requirements, and suitability and Regulation Best Interest standards • Experience with surveillance platforms and compliance workflow tools • Proficiency in Microsoft Excel and SharePoint • Strong investigative, analytical, and writing skills • Ability to document a decision so it holds up in an examination • Ability to manage multiple deadlines in a fast-paced, distributed environment • Series 53 or 51 and Series 66 licenses strongly preferred • Experience supporting FINRA or SEC examinations, including compiling exhibits and drafting responses • Experience reviewing insurance and annuity transactions for suitability • Experience conducting branch examinations and reviewing advertising and correspondence • Submit a current resume and a brief cover letter describing interest and relevant broker-dealer or RIA compliance experience

🏖️ Benefits

• Comprehensive medical, dental, and vision coverage • 401(k) participation with company match • Paid time off and paid holidays • Eligibility for discretionary performance-based bonus • Wellness initiatives • Opportunities for continuous learning and professional development in a supportive team

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