Compliance Principal (Broker Dealer)

Firm Summary: Independent Broker-Dealer firm based in Buckhead, GA.  They offer Advisors Broker Dealer, services that includes providing a suite of Technology services and Support to over 200+ Financial Advisors.  Financial advisors use their broker-dealer platforms to manage their book of client assets, accounts.

Firm Accolades:  Financial Planning has ranks this firm among the nation’s top IBDs, and Investment News, named them as one of the fastest-growing IBD's in the country.  They are fast growing and have doubled in size over the past year. Great culture of people working and growing together to support their Financial Advisors. Opportunity to move up in the ranks quickly as firm expands in size and operations.  

Position Summary:  Independent and Atlanta-based broker-dealer, is seeking a seasoned Compliance Principal with financial industry experience responsible for assisting in, but not limited to: the review and approval of new accounts, advertising and marketing materials, and the oversight of electronic communications. Responsibilities include familiarity with the Investment Advisor Act, Securities Act of 1933, and state-specific insurance rules and regulations. This is a ground-floor opportunity to work in a dynamic firm with experienced leadership. The role will work in a cross-functional approach supporting financial professionals along with other departments.

 Responsibilities: Perform required compliance functions in coordination with and under the     direction of the firm’s Chief Compliance Officer.

●        Review and approval of accounts and transactions  

●        Review emails and social media content

●        Review advertising and marketing materials

●        Utilize FINRA Gateway/CRD 

●        Research of securities rules and regulations 

●        Develop, review, and maintain compliance policies, procedures, and forms 

●        Prepare comprehensive management reports by collecting, analyzing, and summarizing               information 

●        Prepare for and execute onsite branch audits

●        Review personal trading activities of reregistered personnel

●        Monitor trading activity, blotters, and exception reports when needed 

●        Review contracts and conduct third-party due diligence

Preferred skills and abilities:

●        Working knowledge of FINRA CRD 

●        Sound understanding of securities rules and regulations 

●        Thorough knowledge of private placements and annuity products 

●        Strong communication skills

●        Sound business judgment and strong decision-making ability

●        Ability to respond effectively and timely to representatives and clients 

●        Exceptional relationship-building skills and ability to effectively work with other                              departments within the firm

●        Ability to travel up to 10% of the time

Education & Experience Requirement:

●        Minimum of five years of financial services industry experience 

●        Bachelor’s degree or equivalent combination of education and work experience 

●        Strong computer skills for managing data, report creation, developing presentations, etc.

●        Series 7, 24, required, Series 65 or 66 required within 90 days

Benefits: Year End Discretionary Bonus, 401(k), Health insurance, Paid time off