Job Title:
Associate Compliance Officer, Broker Dealer
Street Address:
3735 SW Wanamaker
*Employment Type:
Full-Time
Job Description:
Aurora Securities, Inc. looking for an Associate Compliance / Operations analyst to support the broker-dealers’ Chief Compliance Officer (CCO). The role is ideal for a high-functioning, energetic professional with compliance experience within a broker- dealer and an understanding of FINRA Broker-Dealer and/or SEC Registered Investment Advisor regulations advisor regulations. In this role, you will assist in supporting and monitoring the regulatory compliance 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:
· Assist with the day-to-day activity of the broker-dealer monitoring and supervising activities of registered representatives;
· Conduct branch and non-branch office inspections;
· Perform review of email surveillance, escalating items to the CCO as needed;
· Support the firm with its AML compliance program;
· Assist in implementation of new regulatory requirements and execution of business initiatives;
· Develop strong relationships and works with all organizational levels;
· Perform supervisory reviews of direct business lines (variable annuities, 529s, mutual funds, variable life insurance);
· Assist with other elements of the compliance program, as applicable;
· 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
· Experience with compliance monitoring technology, processes, and systems, including processes to make improvements or take corrective action, within a registered broker- dealer.
· Strong attention to detail and accuracy and thorough in carrying out job-related responsibilities.
· Strong written, oral and interpersonal communication skills.
· Strong organizational and time management skills and ability to effectively prioritize responsibilities.
· Proactive problem solving, strong analytical skills and critical thinking abilities.
Preferred Qualifications:
· Bachelor’s degree
· 2+ years of related experience in operations and compliance functions with a broker- dealer
· Securities License 7, 24 and 63
Job Type: Full-time
Pay: $60,000.00 - $110,000.00 per year
Benefits:
- 401(k)
- Dental insurance
- Health insurance
- Paid time off
Schedule:
License/Certification:
Work Location: In person