Individual will be responsible for providing compliance support for the Legal and Compliance Department, including, but not limited to: reviewing advertisements, sales literature, client servicing materials, press releases, television interviews, public speeches, internet site(s), requests for proposal; and special projects as assigned.
â¢ A four-year degree in business or related field.
â¢ Proficiency in Excel, Microsoft Word, and Outlook.
â¢ Clear commitment to company's culture, values and approach.
â¢ Previous legal/compliance experience with a broker-dealer or investment adviser of 3-5 years is desired.
â¢ Team-oriented: ability to apply analytical and decision-making skills in a collaborative environment.
â¢ Service oriented: ability to balance regulatory and policy standards along with a business perspective.
â¢ Exceptional organizational skills: ability to effectively prioritize tasks, produce consistently accurate work and meet strict deadlines.
â¢ Highly flexible, multi-task oriented: capable of rapidly changing directions based on business demands.
â¢ Must take initiative in learning and applying new skills and regulations.
â¢ Superior written and oral communication skills; confidence interacting with all levels of management.
â¢ FINRA Series 7, 24 and 63, highly desirable or the ability to obtain within 3 months of employment.