Compliance Specialist

The Compliance Specialist will work closely with the VP, to develop, implement, and oversee the compliance program for Copper Financial Network, LLC ("Copper"), a FINRA registered broker-dealer and SEC Registered Investment Adviser. Responsibilities include serving as a compliance liaison within the organization, performing research and interpretation of laws and regulations, designing and implementing updates to firm procedures, planning and conducting assigned compliance reviews, and preparing and communicating reports to all levels of management. This position will focus on mitigating risk while being proactive and providing a high-level of service through guidance and support to financial advisors and other departments within Copper. Role is key to ensuring open communication within the firm and a strong culture of compliance. A successful candidate will balance consistently meeting high standards and making prudent business decisions while meeting deadlines.

Primary compliance resource for advisors and client service associates.
• Track, research, and make recommendations on current and pending laws and regulatory changes impacting Copper business, including broker-dealer, registered investment adviser, and insurance regulations.
• Create and provide reports to various levels within the organization on risks and trends identified through Compliance reviews.
• Make recommendations to senior management on escalated compliance risks and issues.
• Responsible for creating and amending written supervisory procedures designed to ensure compliance with applicable regulatory requirements and mitigate risk.
• Conduct periodic testing of written supervisory procedures to identify any deficiencies or areas of improvement.
• Design, implement, and review exception reports to identify sales practice and/or AML risks.
• Perform and maintain the firm's branch examination program.
• Review customer complaints and make recommendations on appropriate resolutions
• Investigate and determine appropriate next steps on potential vulnerable adult cases.
• Responsible for creation, administration, and review of annual compliance questionnaires.
• Conduct review and provide guidance to associated persons and Supervision on outside business activities.
• Conduct principal pre-approval of advertising and marketing communications in compliance with applicable regulations and firm standards.
• Prepare and deliver Firm Element and Annual Compliance Meeting training.
• Responsible for annual and ongoing updates to ADV Part 1, Part 2A, and Appendix 1.
• Conduct reviews of personal securities accounts in accordance with Code of Ethics.
• Build strong working relationships with financial professionals while maintaining appropriate independence.
• Demonstrate behaviors that are consistent with CAFS' values, philosophies, and leadership characteristics.
• Special projects and other duties as assigned.

Education and Experience Requirements:

• Bachelor's degree preferred in business administration or related field.
• 5 years of broker-dealer and/or RIA compliance, supervisory, or regulatory experience.
• FINRA S7 required. Series 24 strongly preferred or obtain within 90 days of hire.

Required Knowledge, Skills and Abilities:

• Knowledge of mutual funds, annuities (fixed and variable), advisory programs, and general securities required.
• Understanding of anti-money laundering rules and red flags.
• Ability to analyze complex information and make decisions based on solid understanding of FINRA and SEC requirements and firm procedures.
• Organized self-starter with the ability to manage work autonomously and complete work timely and with a high degree of quality.
• Strong attention to detail and excellent problem-solving skills.
• Risk mitigation mindset when reviewing information with a focus on collection of appropriate information, development of action plans and communication risks and appropriate next steps.
• Ability to apply principles of logical thinking to define problems, collect data, establish facts and draw valid conclusions; must be able to deal with abstract and concrete variables.
• Ability to discern issues that warrant escalation to management.
• Excellent interpersonal skills to include oral and written communication.
• Ability to handle confidential matters with discretion and in a professional manner.
• Strong proficiency with various Microsoft applications including Word and Excel preferred.
• Experience with CRM and other broker-dealer operations applications preferred.
• Ability to resolve interpersonal conflict and miscommunications.
• Ability to interact with all levels of management.