What are the responsibilities and job description for the Compliance Officer position at Gradient Securities, LLC?
The Gradient Financial Group is a leading financial services company that includes eleven unique entities doing business throughout the country. We’re seeking an energetic crew member for the Compliance Officer with Gradient Securities. Gradient Securities is a FINRA registered broker/dealer doing business as Gradient Wealth Management, an SEC-registered investment advisory firm.
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with Gradient Securities, we provide:
It’s time to take your career to a higher altitude with the Gradient Financial Group. Visit https://www.careers.gradientfinancialgroup.com/ to learn more about our values, leadership team, career paths, benefits and more!
Here at Gradient, we take our work and our culture seriously. We frequently come together for food days, friendly competitions, volunteering, and other special events. We also prioritize openness and transparency so that you’re always informed when significant decisions and changes are made.
When charting your next route, you may be wondering what to expect. If you take flight with Gradient Securities, we provide:
- Health insurance
- Dental insurance
- Vision insurance
- Paid time off (PTO)
- Volunteer time off (VTO)
- Hybrid remote work options
- 401K
- Life Insurance
- Flexible schedules
- Monthly Social Activities
- Casual dress code
- Professional development
Now, you’re probably wondering a little more about what we are looking for, so here it is:
- Bachelor’s Degree or equivalent work experience – Required
- Series 7, 24, 66 – Required
- 5 years of experience working in the BD or RIA industry – Required
- Experience in FINRA and/or SEC supervision – Preferred
- People or relationship management experience – Preferred
- Basic knowledge of laws, legal codes, court procedures, precedents, government regulations, executive orders, agency rules, and the democratic political process.
- Basic knowledge of FINRA/SEC rules and regulation
- Basic knowledge of compliance systems and controls
- Basic knowledge of laws and regulations affecting business operations.
- Basic knowledge of FINRA/SEC rules and regulation and how they apply to business practices for advisors
- Knowledge of business and management principles involved in strategic planning, resource allocation, human resources modeling, leadership technique, production methods, and coordination of people and resources.
- Knowledge in managing and supervising others while maintaining an environment that is conducive to meeting team goals and company vision.
- Proficient knowledge of FINRA/SEC rules and regulation and how they apply to business practices for advisors
- Proficient knowledge of the Gradient Family of Companies
- Proficient skills in reviewing and auditing advisory business practices such as: correspondence, advertising, seminar review
- Proficient analytical, decision-making, and problem-solving skills.
- Proficient skill in understanding the big picture regarding regulations
- Advanced and proven organizational and prioritization skills with a high attention to detail
- Advanced and proven verbal, oral, and written communication skills
- Basic ability to execute performance reviews for those on the team.
Want some more specifics? If you join the Gradient Securities crew, here’s what you’ll be doing:
- Review advertising and sales materials
- Review correspondence
- Log and blotter review
- Answer compliance-related questions
- Outside business activity review
- Private securities transaction review
- Branch office audit support
- Conduct IAR Audits
- Assist in policy & procedure creation and review
- Presenting webinars and writing compliance-related articles
- Manage internal and external customer relationships; partner with team members to ensure and maintain positive relationship management
- Provide direct correspondence and support for FSP inquiries, including calls, emails and face-to-face; assist team members with elevated inquires
- Create presentations, educate and train internal employees
- Promote and implement accurate and up-to-date understanding of trends, best practices, and prevailing attitudes and approaches
- Promote and implement technology enhancements
- Partner to determine, initiate, and lead key initiatives
- Provide suggestions for new or enhanced events and/or services, assist in the development of events/services, and provide ongoing feedback to management
- Provide ongoing training and growth for team members
- Initiate and work with team members to promote collaboration and team development
- Be a resource to team members to answer questions regarding client correspondence, processes and procedures, compliance, and all other as necessary
- Partner to troubleshoot issues that team members may have
- Provide training and insight to team members on best practices
- All other duties as assigned
Whether your flight begins at our Minnesota or Kansas office, we’re committed to your ascent to your career’s maximum altitude. We help our employees thrive in their chosen field while also encouraging them to explore other parts of our company and the industry. We’re committed to our crew members in a way that truly shows that at Gradient, the sky really is the limit.
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