Compliance Assistant

Job Description

Job Description

Compliance Assistant

Summary :

The Compliance Assistant in Surveillance is responsible for helping support Compliance’s role in helping to monitor the firm’s compliance with regulatory requirements and internal policies. The Compliance Assistant collaborates with team members and various departments to help identify compliance issues and corrective actions.

Essential Duties & Responsibilities :

• Monitoring and Surveillance : Assisting in the surveillance of trading activities to ensure compliance with regulatory requirements and internal policies. Escalating to Compliance Officers for resolution.
• Regulatory Compliance : Assisting Compliance Officers on regulatory changes and implementing necessary adjustments.
• Investigations : Assisting in investigations potential violations of industry rules and regulations and preparing detailed reports on findings.
• Reporting : Preparing and submitting required regulatory reports and filings.
• Training and Education : Helping develop training programs to educate employees on compliance policies and procedures.
• Collaboration : Working closely with Compliance Officer to address compliance issues and help implement corrective actions.
• Documentation : Maintaining accurate records of compliance activities and ensuring all documentation is up-to-date and accessible.

Qualifications :

Education and / or Work Experience :

Licenses / Registration :

Work Environment :

This position requires the ability to work in a stationary position for several hours at a time and the ability to lift up to 25 pounds, occasionally. Some filing is required. The work environment is an air-conditioned, smoke-free, office environment. This position routinely uses standard office equipment such as computers, phones, photocopiers and filing cabinets.

About Benjamin F. Edwards

If you are interested in joining a different kind of firm that truly puts the interests of its advisors and clients first, you have come to the right place. Founded in 2008 and serving more than 300 advisors with over $45 billion in assets, Edwards has the scale our advisors expect and the ability to deliver the personal touch and concierge-level service our clients deserve.

We are a firm that values our legacy of family and colleagues and cherishes an environment where all succeed through collaborative support. To us, legacy is not only about the past - it is building an experience that prepares all of us, and our clients, for the future.

We invest in our team and recognize and appreciate the value of hard work. The rewards of the job are founded in the difference you will make in the lives of our clients and extend throughout a culture that inspires you to learn, grow, and be your best. Having fun is part of the firm’s mission statement.

We offer a comprehensive benefits package which includes health, dental, vision, 401(k), life insurance, disability, and paid time off.

Our client-first mission is grounded in the Golden Rule; when you join Benjamin F. Edwards you are well cared for, and we welcome all applicants with the skills, experience, and enthusiasm to do a great job regardless of race, color, religion, gender, sexual orientation, national origin, genetics, disability, age, or veteran status.

Benjamin F. Edwards is an Equal Opportunity Employer.

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