Compliance Specialist

About Renaissance Financial

Renaissance Financial is a comprehensive financial planning firm with locations in St. Louis, Overland Park, Omaha, Phoenix, and Salt Lake City.

Our Mission : Using creative business and personal planning, we help our clients achieve financial freedom... one relationship at a time.

Our true team approach and entrepreneurial atmosphere set us apart from other firms in our industry. Joining our close-knit team at Renaissance Financial will inspire professional growth through numerous opportunities while creating a lasting impact on our organization and community.

We support and reward our staff through team outings and industry leading benefits because we sincerely care about the well-being of our team members.

We are an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all employees.

The mission of this full-time position is to ensure the organization adheres to legal and regulatory requirements.

Primary Responsibilities

Developing and Implementing Compliance Programs

• Create and manage effective action plans in response to audit discoveries and compliance violations.
• Develop internal company policies that adhere to Regulatory rules and requirements.

Risk Assessment and Monitoring

• Regularly audit company procedures, practices, and documents to identify possible weaknesses or risks.
• Evaluate outside business activities to assess compliance risk.
• Establish and execute procedural protocols, including randomized desk checks, to uphold compliance and cybersecurity requirements.

Liaison and Communication

• Serve as a liaison between Financial Advisors and broker dealers, following up on outstanding matters and compliance obligations.
• Communicate with employees to ensure awareness of compliance requirements.
• Collaborate with the marketing team to ensure advertising materials comply with disclosures and regulations.

Expertise and Training

• Cultivate expertise in the firm's technology infrastructure and software tools.
• Assist in the development of presentation materials and training resources for the compliance team.
• Acquire a thorough understanding of Compliance Guides for Investment Advisor Representatives.

Review and Oversight

• Conduct regular audits to identify potential weaknesses and noncompliance situations.
• Review correspondence (approved templates, encrypting emails, etc.) and advertising materials.
• Monitor checks and securities log to confirm that submissions adhere to 24-hour limit and are being sent between approved custodians.
• Review gift log submissions to ensure they stay below the regulatory limit. Help Advisors with planning and compliance on sponsor events and occasional entertainment.

Backup Support

Serve as backup to primary OSJ (Office of Supervisory Jurisdiction).

Essential Characteristics

• Strong organizational skills and attention to detail in such things as composing, typing, and proofing materials, establishing priorities and meeting deadlines.
• Ability to learn the habits and needs of executives to anticipate their needs.
• Excellent initiative, ability to learn quickly and work independently.
• Knowledge of data gathering and reporting procedures.
• Ability to manage multiple projects and meet changing deadlines.
• Strong organizational and problem-solving skills to ensure excellent client service and expedient business processing.
• Ability to interact and communicate with individuals at all levels of the organization.

Education, Training & Experience

• Bachelor's degree (preferred)
• 4-7 years of experience in the Financial Services Industry (preferred)

Registrations Required

• Series 7
• Series 66 or Series 63 (or equivalent)

Licenses required to be obtained within the first 12 weeks of hire.

Series 24

Computer Equipment and Software

• Microsoft Excel
• Microsoft Outlook
• Typing of at least 40 wpm

Working Conditions

• Business professional office environment.
• This position will frequently exceed a 40-hour work week.
• Some Travel Required.

We are committed to providing an accessible work environment. If you need accommodations during the application or employment process, please let us know.

Benefits and Incentives

• Employer Paid Medical Insurance.
• Generous employer contributions of up to 10% of team member eligible compensation annually.
• Potential for Annual Variable Compensation and Bonuses.
• Employer Licensing Coverage and Growth Opportunities.
27 days ago