Job Description

Job Description

Job Description

Position Summary

The Compliance Officer supports the Firm in executing its regulatory and supervisory responsibilities. This person reports to the Broker Dealer and RIA Chief Compliance Officers. This role is ideal for a detail-oriented professional with a strong understanding of compliance operations, documentation standards, and surveillance systems. The Compliance Officer will assist in monitoring daily activities, maintaining records, and supporting internal audits and training efforts.

Key Responsibilities

Compliance Monitoring & Support

• Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, state regulations, etc.)
• Perform FINRA Branch Office Inspections
• 3120/3130 and 206(4)-7 annual testing for FINRA and SEC
• Manage the Firm’s continuing education program for Registered Persons.
• Review and Approval of customer new accounts, AML/KYC, ongoing monitoring of trading activity, and Regulation Best Interest compliance.
• Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)
• Advisory Testing Reviews

• Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls
• Review documentation of Financial Crime Enforcement Network (FinCEN) postings.
• Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm.

• Support documentation of disclosures, suitability reviews, and client communications
• Compile data for monthly and quarterly compliance reports
• Support the Compliance Department in preparing presentations and memos
• Respond to routine compliance inquiries from staff and registered representatives
• Help draft internal communications regarding policy updates and regulatory changes

Qualifications and Skills

• FINRA Series 7, 63/66 required. FINRA Series 24 is required or ability to obtain within 3 months of hire. Series 4 and 79 a plus.
• Education: Bachelor’s degree in Finance, Business Administration, or related field
• Experience: 4-5 years in financial services compliance or operations
• Familiarity with FINRA, SEC, and AML regulations
• Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures
• Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines
• Strong organizational and analytical skills
• Proficiency in Microsoft Office Suite and compliance platforms
• Bilingual (English/Spanish) preferred
• Lexis Nexis

Work Environment

This role is based in a professional securities office in Alpharetta, Georgia. It requires a polished, compliance-focused demeanor and may involve occasional overtime to meet regulatory deadlines or support audits.

Equal Employment Opportunity Statement

We are an Equal Employment Opportunity employer. We are committed to providing a workplace free from discrimination or harassment based on race, color, religion, creed, sex, gender identity or expression, sexual orientation, national origin, age, disability, marital status, veteran status, genetic information, or any other protected status under applicable federal, state, or local laws. We value diversity and encourage individuals from all backgrounds to apply.

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