How Will Your Role Impact First Command?
Under the general supervision of Compliance leadership, the Senior Compliance Officer is a principal licensed role and is responsible for the execution and oversight of supervisory compliance functions including outside business activity, social media, instant messaging, outside brokerage accounts, gifts, personal securities transactions, and other electronic communications. In addition, the position is responsible for monitoring and tracking regulation requirements and certifications and act as a resource to Home Office personnel, financial advisors, and their employees with respect to laws, regulations, and Company rules related to the insurance and securities industry.
What Will You Be Doing?
- Prepare and coordinate with department leadership in creating the Annual CEO Certification report as specified in FINRA Rule 3130 as well other annual requirements.
- Partner with Risk and Controls to complete annual review of Compliance Operations controls including testing to determine if gaps have been identified and resolved.
- As an independent control function and part of the company’s second line of defense, monitor for compliance with new or amended laws, rules, and regulations.
- Support the Designated Marketing Principal with the management of marketing approval process by reviewing a variety of marketing material for alignment with applicable regulations, company rules, policies, procedures, and controls to mitigate risks.
- Assist with training of marketing related compliance requirements
- Assists with assessment of external regulatory activity and changes in laws and regulations impacting Marketing
- Prepare updates to written supervisory procedures for review, release, and publication
- Complete annual compliance report which identifies areas of strengths and weaknesses so that leaders can make effective decisions about resources and planning.
- Establish and maintain strong relationships with our business units to promote a culture of compliance and distinction between the three lines of business.
- Reviewing and disseminating monthly or quarterly disciplinary actions in the industry related to the firm’s business practices to leadership.
- Provide regulatory and compliance advice to the business and field force on an ongoing basis.
- Administer and manage the compliance reviews of the electronic communications surveillance process to ensure the vendor platform is being used in most effective and efficient way as needed.
- Develop and maintain firm policies in the Compliance portal for employee and associated representative annual attestations
- Work closely with leadership with the process of the firm’s Annual Compliance Training Requirements.
- Support HR and other business departments by onboarding new hires and ensuring that questionnaires and attestations are obtained in a reasonable time frame.
- Serve as point of contact for registered personnel disclosures and ongoing monitoring of activity of disclosed brokerage accounts and insider trading flags
- Investigate and preparing draft response to various regulatory inquires
- Ensuring that the Compliance Manual, WSPs, and Compliance related policies and procedures and instructions are current and reflect the firm’s business practices.
- Partner with Compliance leadership in discussion of compliance issues by creating solutions and resolving gaps.
- Perform general level of quality control over various functions including Field Examination, Compliance Operations and AML
- Coordinate compliance regulatory inquiries and support the drafting of responses to these requests of information
What roles will this employee lead?
·Coach and mentor others under the direction of leadership to promote team cohesiveness and effectiveness
What Skills/Qualifications Do You Need?
- 7+ years of legal, compliance or related experience in the financial services industry
- Must be self-directed, organized, positive, driven, and effective in a fast-paced changing environment
- Bachelor’s degree required (would consider industry experience in lieu of education)
- Broker/Dealer; Investment Advisory experience preferred
- Series SIE, Series 7, Series 24 required
- Be a problem solver; make independent and collaborative decisions as appropriate
- Excellent verbal and written communication skills
- Understanding of regulatory rules and regulations and the ability to apply to areas of the firm’s business
- Ability to seek interpretations and provide guidance on non-routine and often complex compliance matters.
- The ability to stay abreast on latest industry developments to be proactive rather than reactive when issues arise.
Required Knowledge, Skills, and Abilities
·Use appropriate interpersonal styles and communicate effectively, both orally and in writing, with all levels of the organization
·Attend to detail under pressure while maintaining the big picture orientation
·Ability to seek interpretations and provide guidance on non-routine and often complex compliance matters.
·The ability to quantitatively and/or qualitatively process data
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