About the Job
JCW is working in partnership with a Financial Services firm based in Topeka, Kansas. Our client is actively looking for a talented candidate to join their Compliance team with either the Broker Dealer or RIA function.
Key Responsibilities
- Review Compliance policies and procedures for the firm.
- Assist with conducting branch and non-branch inspections.
- Monitor regulatory changes for the firms main regulators including FINRA and the SEC.
- Advise Senior Management on Broker Dealer compliance issues.
- Handling supervisory reviews of different business lines (Variable annuities, 529s, mutual funds, etc.)
Minimum Requirements
- At least 2 years of Broker Dealer compliance experience.
- FINRA Series 7 and 24 Licenses required, 63 preferred.
- Clearing firm Compliance experience preferred.
This position will be fully on-site.
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