What are the responsibilities and job description for the Compliance Officer position at Gradient Securities, LLC?
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.
Make sure to apply quickly in order to maximise your chances of being considered for an interview Read the complete job description below.
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.