What are the responsibilities and job description for the Compliance Officer position at Providence Talent Group?
Key Responsibilities
- Monitor trading activity and conduct surveillance reviews to identify potential regulatory violations
- Review and approve marketing materials, correspondence, and client communications
- Conduct branch examinations and oversight reviews of registered representatives
- Assist in the development, implementation, and maintenance of Written Supervisory Procedures (WSPs)
- Respond to regulatory inquiries, examinations, and audits from FINRA, SEC, and other regulatory bodies
- Provide compliance guidance and training to advisors and internal staff
- Review and approve new account documentation and ensure KYC/AML standards are met
- Monitor and enforce firm policies related to outside business activities, private securities transactions, and gifts and entertainment
- Maintain awareness of evolving regulatory requirements and communicate relevant updates to the business
Qualifications
- Series 24 required
- 5 years of compliance experience within a broker-dealer environment
- Strong knowledge of FINRA rules, SEC regulations, and AML requirements
- Experience with international HNW client compliance is a strong plus
- Bilingual — English and Spanish strongly preferred
- Bachelor's degree in Finance, Business, Law, or related field
- Strong written and verbal communication skills
- Ability to work independently in a fast-paced, high-touch environment