Compliance Officer

Objective

The Compliance Officer is an integral part of the Firm’s Compliance team. Compliance professionals facilitate business decisions within a dynamic regulatory environment, solve issues across the organization and its operations, train team members to know and understand the pertinent regulations and how we meet our responsibilities, and are adept at communicating with industry and regulatory professionals, inside and outside the Firm.

Essential Functions

Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Support regular compliance testing and monitoring of policies and procedures including : personal trading; outside business activities;

gifts and entertainment; registrations and filings; sales practice; and, operations

• Prepare written policies and procedures and support remediation efforts of compliance
• Assist in ongoing compliance training of the firm and orientation for new hires
• Ensure all required regulatory filings are completed on a timely basis and updated as necessary and confirm all associated persons and entities hold appropriate licenses and registrations
• Ensure all required books and records and properly maintained pursuant to SEC requirements
• Assist in connection with periodic testing, on-site regulatory examinations and ad-hoc inquiries
• Work proactively to identify potential problems & compliance issues
• Will report to and work closely with the company's Chief Compliance Officer as to issues, problems, and sales practice

Required Education and Experience

1. 3+ years of Compliance experience with a Broker-Dealer or an Investment Adviser / Broker-Dealer, Compliance Consulting firm, or Bank.

2. Bachelor's Degree in a related field.

3. Experience identifying compliance issues and operational risk concepts.

4. Familiarity with SEC rules, FINRA rules, and U.S. equity and options exchange rules.

Preferred Education and Experience

1. Strong written and verbal communication skills, a can-do-attitude, enthusiasm, and a strong aptitude for learning.

2. The ability to effectively prioritize workloads and complete tasks within well-defined guidelines and time constraints is essential.

3. Organizational skills and attention to detail are critical given the nature of paperwork, processes, and work, upon which both clients and the Firm depend.

4. This person is an intelligent, analytical thinker with the ability to draw on a range of resources to ensure a high-quality outcome across the position responsibilities

5. Knowledge of FINRA / SEC compliance and / or supervisory procedures

6. Series 7 registration. If this person does not have, expected to obtain within the first year.

7. Ability to collaborate and interact with multiple business structures and the temperament and skill to manage different types of personalities

8. Ability to handle competing priorities, be self-directed and able to manage workload and make decisions

9. Teamwork, excellent communication and analytical skills are essential

10. Proficient in Word, Excel, Outlook, and PowerPoint

11. Regulatory experience

Competencies

1. Written communication

2. Communicativeness

3. Problem solving & decision making

4. Industry knowledge

5. Functional / technical expertise

6. High standards

7. Integrity

Position Type / Expected Hours of Work

This is a full-time position. Standard days and hours of work are Monday through Friday, 9 : 00 a.m. to 6 : 00 p.m. This is a hybrid role, at least two days in the office each week.

AAP / EEO Statement

Dash Financial Technologies provides equal employment opportunities to all employees and applicants for employment without regard to race, color, religion, sex, national origin, age, disability or genetics.

In addition to federal law requirements, Dash Financial Technologies complies with applicable state and local laws governing nondiscrimination in employment in every location in which the company has facilities.

This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation and training.

Dash Financial Technologies expressly prohibits any form of workplace harassment based on race, color, religion, gender, sexual orientation, gender identity or expression, national origin, age, genetic information, disability, or veteran status.

Improper interference with the ability of Dash Financial Technologies employees to perform their job duties may result in discipline up to and including discharge.