Compliance Officer

Job Description:

Aurora Securities, Inc. looking for a Compliance Officer to support the broker-dealers’ Chief Compliance Officer (CCO). The role is ideal for a high-functioning, energetic professional with in-depth compliance experience within a broker- dealer and a deep understanding of FINRA Broker-Dealer & SEC Registered Investment Advisor regulations advisor regulations. In this role, you will assist in maintaining and monitoring the regulatory compliance and supervisory program for Aurora Securities, Inc., reporting directly to the Broker-Dealer’s Chief Compliance Officer and supporting our affiliated SEC Registered Investment Advisor (Secure Asset Management’s) compliance programs pursuant to applicable SEC and FINRA regulations and firm policies and procedures.

Duties include but are not limited to:

· Assists with the day-to-day activity of the broker-dealer and RIA programs including registration and licensing, monitoring and supervising activities of registered representatives and training and education of registered representatives;

· Assists with the development, updates and enforcement of the firm’s policies and procedures;

· Assists with the periodic testing and verification of the firm’s broker-dealer compliance program;

· Conducts branch and non-branch office inspections;

· Performs supervision of email surveillance, escalating items to the CCO as appropriate;

· Performs reviews of advertising and sales materials and other business communications;

· Supports the firm with its AML compliance program;

· Assists in implementation of new regulatory requirements and execution of business initiatives;

· Assists with regulatory filings and reports such as Form BR, Form U4, NRFs and U5;

· Conducts and facilitates internal and 3rd party and vendor testing;

· Develops strong relationships and works with all organizational levels;

· Understands appropriate internal controls;

· Regular, reliable and punctual attendance;

· Assists the CCO with research and collaboration to interpret new and existing regulations as mandated, including, but not limited to, changes to regulatory requirements and SEC or FINRA examination focus items;

· Performs supervisory reviews of direct business lines (variable annuities, 529s, mutual funds, variable life insurance);

· Assists with other elements of the compliance program, as applicable;

· Recommends, drafts and helps to implement changes to relevant Policies and Procedures/Written Supervisory Procedures based upon regulatory requirements, industry practices and established internal controls, including AML, CIP, BCP, insider trading and personal account handling, disclosures, email surveillance, branch audits and operations. Assist the business in its stated goals and objectives;

· Conduct compliance training and update personnel on compliance issues;

· Conduct business practice reviews as needed and investigate sales practice concerns as they arise. Serve as point person for internal investigations and recommend disciplinary action, as needed.

· Assists with aspects of regulatory examinations of Aurora and various filings.

· Manage projects associated with development of new business lines, as applicable, including providing expertise and advice and managing consideration of regulatory impacts, process changes and FINRA approval requirements.

· Identify, assess and manage compliance risks driven by legislation, regulation, customer requirements and industry trends, including impact assessment of the risks to our products, market position and operations.

Skills and Knowledge

· Knowledge of business and management principles involved in strategic planning, resource allocation, leadership technique, production methods and coordination of people and resources preferred.

· Experience with compliance monitoring technology, processes and systems, including processes to make improvements or take corrective action, within a registered broker- dealer.

· Experience with process and project management and implementation.

· Strong attention to detail and accuracy and thorough in carrying out all job-related responsibilities.

· Extremely strong written, oral and interpersonal communication skills.

· Strong organizational and time management skills and ability to effectively prioritize responsibilities.

· Ability to build and maintain professional relationships with internal team members and other departments and business leaders.

· Proactive problem solving, strong analytical skills and critical thinking abilities.

· Ability to use logic and reasoning to identify the strengths and weaknesses of alternative solutions, conclusions or approaches to problems; to combine pieces of information to form general rules or conclusions, considering the implications of all options (benefits, costs and risk factors) and being able to determine the most appropriate solution.

Preferred Qualifications:

· Bachelor’s degree

· 2 years of related experience in operations and compliance functions with a broker- dealer

· Securities License 7, 24, 53

Job Type: Full-time

Pay: $50,000.00 - $132,192.00 per year

Benefits:

• 401(k)
• Dental insurance
• Health insurance
• Paid time off

Schedule:

• Monday to Friday

Experience:

• Broker Dealer Compliance: 2 years (Required)

License/Certification:

• Series 24 (Required)
• Series 7 (Preferred)

Ability to Commute:

• Topeka, KS 66610 (Required)

Work Location: In person

Salary : $50,000 - $132,192