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Leadership. Manage compliance program, fostering a firm-wide culture of compliance. Assist team in resolving escalated or complex issues. Act as decision-maker for how regulatory requirements are implemented procedurally.
Knowledge. Maintain and update compliance policies and procedures to comply with SEC, FINRA, federal and state regulations. Ensure appropriate safeguards are in place to prevent, detect, and make corrections to compliance issues. Develop content and act as lead presenter for the annual firm element of continuing education.
Management. Lead team of 4 compliance professionals. Train employees, set and manage key performance metrics, manage task and project deadlines, and hold work product to high standards. Review background checks on rep candidates who apply for membership. Lead a weekly team call.
Operations. Submit filings to FINRA CRD. Update and maintain regulatory filings calendar. Oversee the firm's anti-money laundering program. Update and manage implementation of the firm's written supervisory procedures. Prepare for and respond to regulatory inquires/examinations and other audits. Conduct annual supervisory controls testing and prepare report.
RESPONSIBILITIES for Supervisory Principal (half time position):
Day to Day Supervision of Reps. Act as Supervisory Principal for an assigned group of registered reps.
Maintain "open door" for reps to reach you for guidance. Communicate politely, effectively and according to company guidelines.
Review compliance forms submitted by assigned reps (e.g. OBAs, PSTs, marketing materials, co-marketing agreements).
Perform due diligence on deals submitted by reps.
Perform due diligence on customers submitted by reps.
Perform due diligence on transactions submitted by reps.
Conduct office inspections and communications reviews
File materials (OBA, PST, advertising, 5123, etc) with FINRA as necessary.
Self-directed high achiever, efficient at working remotely using phone and web-based applications to communicate with team.
Team leader. Effective communicator, able to confront conflict and difficult issues in a professional, assertive and proactive manner. Customer service minded.
Organizational and project management skills with orientation towards record keeping and process improvement.
Proactive critical thinker, able to foresee potential risks ahead of making decisions, able to balance business concerns and regulatory requirements.
10+ years in investment banking / placement agent industry, including 5+ years of senior compliance experience, ideally in reviewing private transactions.
Deep knowledge of rules and regulations of the SEC, FINRA, and other federal, state and local regulations and laws for broker dealer, AML and Privacy rules.
Series 7, 63, and 24 required. In addition, Series 27 or 28, 79, and 82 would be useful.
A background check (including fingerprinting) will be required.
The firm is based in downtown San Francisco, where occasional meetings are held.
Most of the team works remotely. You will work from your own home office and will provide your own computer and internet access.
This is an independent contractor role. No benefits will be provided, although after a year of service we would be willing to discuss moving from independent contractor to employee status. This position reports directly to the CEO and works closely with the COO.
Compensation is commensurate with experience.
To apply, please submit a copy of your resume and a cover letter detailing your specific experience.