What are the responsibilities and job description for the Compliance Auditor position at Stephens Default?
ESSENTIAL DUTIES AND RESPONSIBILITIES
- Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations
- Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance.
- Assist in annual compliance interviews or meetings with all registered representatives and associated persons.
- Assist in preparing responses to broker/dealer questionnaires.
- Provide support to branch office managers and branch personnel regarding compliance.
- Assist in providing training to new employees in Branch Offices.
- Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required.
- Perform other functions and tasks as may be assigned by management.
EDUCATION AND/OR EXPERIENCE
- Bachelor's degree in a related field.
- 3 years of related experience and/or training preferred
- Experience in compliance auditing with a securities and/or investment company desired.
- Equivalent combination of education and experience.
CERTIFICATIONS, LICENSES, AND REGISTRATIONS
(may be acquired within six months after employment)
- SIE – Securities Industry Essentials
- Series 7 – General Securities Representative
- Series 63 - State Law Exam
