Conduct suitability review of new business and provide compliance oversight of registered representatives.

Responsibilities

  • Conduct and oversee account reviews for client’s best interest.
  • Work with principals/supervisors to reduce overall firm risk through ongoing performance monitoring, training and guidance.
  • Review investment advisory, broker/dealer and insurance business for adherence to business line processes and controls.
  • Review calls and call reports for quality and adherence of business guidelines.
  • Report and provide input to Compliance and/or management regarding regulatory violations, sales practice improprieties or other policy violations.
  • Assist in the management of OSJ files for RIA, broker/dealer and insurance agency.
  • Assist with the regulatory requirement of advisory annual reviews.
  • Assist with licensing and registration.
  • Email and correspondence review.
  • Perform special supervisory reviews as assigned.

 

Qualifications

  • Bachelor’s degree in finance or business-related field, or equivalent work experience.
  • Two years of suitability or best interest review experience, investment sales supervision, or similar work.
  • FINRA Series 6 or 7
  • FINRA Series 63, 26, 65, or 66, 24; or obtain within six months
  • Thorough knowledge of securities products, FINRA, SEC and DOL regulations.
  • Strong written and verbal communication skills.
  • Analytical and decision-making skills.
  • Attention to detail.
  • Proficiency using MS Office (Word, Excel).

Compensation:

**Please note that the compensation information that follows is a good faith estimate for this position only and is provided pursuant to the Colorado Equal Pay for Equal Work Act and Equal Pay Transparency Rules. It is estimated based on what a successful Colorado applicant might be paid. It assumes that the successful candidate will be in Colorado or perform the position from Colorado. Similar positions located outside of Colorado will not necessarily receive the same compensation. **

Base pay for this position generally ranges from $60,000 - $65,000 per year. This rate is based on potential employee qualifications, operational needs and other considerations permitted by law. The rate may vary above and below the stated amount, as permitted by Colorado Equal Pay Transparency Rule 4.1.2.

Bonus Eligibility:

This position is also typically eligible for an Annual Bonus based on the Company Bonus Plan/Individual Performance and is at Company Discretion at a rate of 7.5%.

Working Conditions

  • Remote environment.