What are the responsibilities and job description for the Compliance Associate position at Sage Rutty and Co Inc?
Sage Rutty & Company, Inc., is growing and searching for a full time Compliance Associate to assist with supporting that growth. This position will be responsible for supporting our dually registered (Broker-Dealer and Investment Adviser) firm’s Compliance department. The employee will assist in performing day-to-day functional tasks related to Compliance with all applicable rules and regulations within our industry.
DUTIES AND RESPONSIBILITIES:
- Review and approval of new account openings
- Assist with employee licensing requirements, annual renewals, and continuing education
- Monitor and review employee communications (email, text message, etc.)
- Support in regulatory examinations and handling of other regulatory matters as necessary
- Support in the preparation of regulatory filings
- Assist with development and maintenance of compliance policies and procedures
QUALIFICATION REQUIREMENTS:
- Bachelor’s Degree or equivalent experience
- Valid FINRA SIE, Series 7TO and Series 24 OR willingness to obtain within 12 months followed by Series 66 within 18 months of hire
- Minimum of 1-3 years of experience with compliance, risk management, banking or other experience in regulated financial institutions
- Detail-oriented, organized, highly proficient individual to work in a fast-paced, deadline driven environment within a small team