Wedbush Securities is one of the largest full-service investment banking and brokerage firms in the nation. We provide innovative financial solutions through Wealth Management, Capital Markets, and Clearing & Execution divisions. Headquartered in Los Angeles, California with over 100 offices and more than 80 correspondent broker/dealers, our commitment to providing relentless, customized service is the foundation of our consistent growth. We are seeking an experienced Compliance Testing TEMP in our New York City office.

Responsibilities include, but are not limited to:

• Conducting compliance testing pursuant to FINRA Rule 3120
• Conducing branch office inspections
• Conducting supervisory control procedures testing
• Conducting a review of compliance policies and procedures on a quarterly basis for rule changes/updates, changes to the policies
• Participating in the branch office exam risk assessments
• Supporting the CCO in other projects as necessary
• Perform other tasks and duties as required and assigned

• Bachelor’s Degree from an accredited university
• Minimum 7 years experience in compliance testing at a broker-dealer
• Licenses preferred (but not required): Series 7, 24
• Proficient in Microsoft Office (Outlook, Word, Excel, PowerPoint)
• Strong analytical, problem-solving, and critical-thinking skills
• Strong verbal and written communication skills
• Organized, detail oriented, ability to prioritize daily work flow, and ability to work independently

Wedbush Securities (WS) aims to foster a culture of inclusion where all Colleagues are valued for their unique contributions to the firm provided equal opportunities to succeed.

The reasonable estimate of the compensation range for this role has not been adjusted for the applicable geographic location. A reasonable estimate of the current range is $70,000-$75,000. Colleagues may be eligible for additional, discretionary incentive compensation based on the colleague's and the firm's performance. At Wedbush, it is not typical for an individual to be hired at, or near, the top of the range for their role. Decisions regarding compensation are determined on a case-by-case basis and are dependent on a variety of factors including but not limited to location; skill sets; experience and training; licensure and certifications; and other business and organizational needs.

Wedbush uses E-Verify, an Internet-based system, to confirm the eligibility of all newly hired employees to work in the United States. Learn more about E-Verify, including your rights and responsibilities here https://www.e-verify.gov/employees/e-verify-overview
From: Wedbush Securities