What are the responsibilities and job description for the Compliance Principal - Series 24 or 9 & 10 Wealth Mgmt - Multi Location position at NEST Capital?
Series 24 or 9 &10 Compliance and Supervisory Principal - Wealth Management
Job Description
We are seeking a registered Compliance Principal holding at a minimum FINRA Series 7, 63/65 (66), & 24 or 9/10 securities registrations to join our fast-growing company. This will be a full time position, geographically agnostic with travel required.
Please note that the above securities registrations are required and must be active and in good order.
Job Duties:
Work with the COO (and BOM) acting as assistant Supervisory Principal for the practice helping manage the daily compliance workload of monitoring, reviewing, and approving/denying all required supervisory & compliance material following all pertinent rules and regulations. This includes, but is not limited by:
- Broker-dealer and industry regulations expert
- New account review and approval
- Check deposits
- Incoming/outgoing correspondence
- Marketing literature
- Monitor and supervise affiliated NEST Capital practices
- Administer associate licensing and CE program
- Account maintenance paperwork requirements
- Prep for and participate in annual audits
- Knowledge in B/D social media systems, rules and requirements
Ideal Experience Level:
- Financial Compliance Officers: 1 year (Required)
- Experience in KYC and reviewing/approving new accounts with appropriate required documentation and forms related to qualified, non-qualified, trust, joint, individual, partnership account types
- Experience with forms and documentation related to new accounts and account maintenance in a brokerage or investment environment
- Ability to interpret and abide by various FINRA, SEC, and broker-dealer notices and regulations
- Strong knowledge of industry rules, regulations, and guidelines; specifically related to compliance
- Experience with navigating a large broker-dealer in sales, compliance, and operations capacities
- Minimum of two (2) years working in a banking, insurance, brokerage, investment or asset management company
- Proficiency in MS Office and Adobe applications
About Katterhenry Investment Group of NEST Capital
NEST Capital is a large, close-knit, independently owned financial advisory holding company with multiple practices, Katterhenry Investment Group being one of those practices. We have almost 30 associates in seven offices throughout the Midwest. We also expect to add additional offices by early 2024 which is why we have opened this position. Each member of our team is friendly, resourceful, and efficient, has a positive attitude, and aims to exceed client expectations. Our Mission is to enhance financial prosperity and ease the burden of wealth management with the ultimate goal of increasing quality of life….for both our clients and our associates. Our Core Values are Growth Mindset, Teamwork, and Enjoyment. We believe good work and enjoyment are not mutually exclusive.
Investment products and services are offered through Wells Fargo Advisors Financial Network, LLC (WFAFN), Member SIPC. Katterhenry Investment Group of NEST Capital is a separate entity from WFAFN.
Job Type: Full-time
Pay: $65,000.00 - $90,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Health insurance
- Health savings account
- Paid time off
- Parental leave
- Professional development assistance
- Vision insurance
Physical setting:
- Office
Schedule:
- 8 hour shift
- Monday to Friday
Work Location: On the road
Salary : $65,000 - $90,000