What are the responsibilities and job description for the Securities Compliance Officer position at SmartPro Financial?
SmartPro Financial is seeking a full-time OSJ supervisor who has a passion for the securities industry and compliance. Applicants must be local to the Sarasota, FL, or Roanoke, VA offices, or willing to relocate. The OSJ role has various duties including maintaining ongoing relationships with their designated advisors to educate, guide, and assist them with their compliance responsibilities.
We believe that a vibrant company culture which supports and nurtures our employees is so important that it is the key to our success—and a unique and sustainable competitive advantage.
Essential Duties
Review, analyze and approve daily new business including oversight of Office of Supervisory Jurisdiction (OSJ) approved trades in a timely manner
Ensure adherence to internal policies and procedures, as well as external clearing firm policies and procedures to financial professionals and employees, and inform management of potential violations
Answer and problem-solve incoming telephone, voice mail, e-mail and occasionally in-person requests professionally and courteously including escalated requests
Maintain working industry knowledge of key topics and continuing education for FINRA licenses (Series 7 and 24) as the point of contact for peers and representatives
Administer training on department processes and software to new and existing financial professionals
Education & Experience
Two or more years of related experience, education and/or training.
Certificates & Licenses
Financial Industry Regulatory Authority (FINRA) Series 7 and Series 24 licenses are required.
SmartPro Financial is a team of financial advisors and insurance agents. Please note that you will be required to get fingerprinted and pass a background check prior to employment.
Job Type: Full-time
Pay: From $82,500.00 per year
Benefits:
Life insurance
Professional development assistance
Retirement plan
Salary : $82,500
