Top 19787 Client Principal Jobs

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Compliance/Operations Principal

Innovation Partners, LLC
Charlotte, NC

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Job Details

Full-time
$76,000 - $95,000 a year

Benefits

Health savings account
Relocation assistance
Health insurance
Dental insurance
401(k)
Flexible spending account
Tuition reimbursement
Paid time off
Employee assistance program
401(k) matching
Professional development assistance
Flexible schedule
Referral program

Qualifications

Bachelor of Science
FINRA
Bachelor's degree
FINRA License
Financial services
Bachelor of Arts

Full Job Description

About us

Innovation Partners, LLC

Innovation Partners, LLC (IPL), is a diversified financial services and consulting firm. It is a state registered Broker Dealer and is registered with FINRA and SIPC. The firm is registered with the SEC as an Investment Advisory firm.

Our firm provides high value risk management, actuarial analysis, benefits consulting, investment banking, financial consulting, management consulting, insurance consulting, and investment advisory services to clients throughout America. We consult to a large number of local and multinational clients such as insurance companies, re-insurers, banks, fund managers, broker dealers, regulatory bodies, government entities and retail organizations.

Our multi-disciplined approach to financial and management consulting permits us to serve our clients in a broader and more complete fashion than is possible by any traditional firm.

Our team is composed of actuaries, investment professionals, attorneys and other experts – all of whom have years of experience in the financial services and other industries. Our principals and key thought leaders have over 200 years of combined financial and corporate experience in the services described in this solicitation.

With offices on both the East and West coasts, Innovation Partners is well positioned to quickly address the needs of our clients.

We are looking for a broker-dealer Compliance Officer/specialist to ensure that our broker-dealer operations and business transactions follow all relevant FINRA and internal rules. You will review the activities of our registered representatives and IARs and provide advice on compliance. To succeed in this role, you should be a reliable professional who is not afraid to speak their mind and stand by their decisions. You should be familiar with FINRA and SEC rules, risk management, and industry’s standards. If you have a sharp business acumen, we’d like to meet you. Your goal will be to ensure we operate in a legal and ethical manner while meeting our business objectives.

Responsibilities

Review / supervise registered representatives and IARs in accordance with FINRA and SEC rules
Review advertising materials and websites
Review social media and other registered representatives and IARs activities
Review CE and firm element requirements
Review new business and products as needed
Create sound internal controls and monitor adherence to them
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Collaborate with external auditors and other company personnel when needed
Educate and train registered representatives and IARs on regulations and industry practices
Address registered representatives and IARs' concerns or questions on legal compliance
Keep abreast of internal standards and business goals

Skills

Proven experience as a broker-dealer/RIA Compliance Officer or Compliance Specialist
Experience in risk management
Knowledge of legal requirements and controls (e.g. Anti-Money Laundering, or AML)
Familiarity with industry practices and professional standards
Excellent communication skills
Integrity and professional ethics
Business acumen
Teamwork skills
Attention to detail
BSc/BA
Professional certification (e.g. Certified Compliance & Ethics Professional (CCEP)) is a plus
FINRA license, preferably Series 6, 7, 26, 24, 65, or 66

Job Type: Full-time

Pay: $76,000.00 - $95,000.00 per year

Benefits:

401(k)
401(k) matching
Dental insurance
Employee assistance program
Flexible schedule
Flexible spending account
Health insurance
Health savings account
Paid time off
Professional development assistance
Referral program
Relocation assistance
Tuition reimbursement

License/Certification:

FINRA License (Required)

Work Location: In person

Quick Apply

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