Branch Compliance Manager
Branch Compliance Manager
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$ 80000 - 130000
1 Vacancy
Job Description
Branch Compliance Manager-Compliance Department
Blue Ocean Wealth Solutions LLC
Blue Ocean Wealth Solutions LLC helps people accomplish their most important financial goals by implementing a customer-centric approach using Insurance Investment Retirement and Employee Benefits. Home to a top-notch team of diverse Financial Professionals Blue Ocean Wealth Solutions LLC is motivated by a mission to change peoples lives. We have a family-orientated environment and it enables our team members and clients alike to thrive.
Our firm is growing and we are looking to add an additional Branch Compliance Manager to the current team. The Branch Compliance Manager is responsible for having a comprehensive understanding of the supervisory and compliance obligations associated with the Broker Dealer Investment Advisory Services as well as the Insurance Agency and to enforce the firms Compliance policies and procedures.
Activities performed by the Branch Manager include but are not limited to the following:
- Conduct Branch Inspections of Registered Offices and other detached locations
- Conduct personal interviews with advisors and registered staff
- Assist Regulators During Examinations and Report the Status of Such Examination to Home Office Compliance Personnel
- Conduct reviews to ensure Reg BI Compliance and work with Advisors to answer any questions they may have
- Review Exception Reports to ensure Broker Dealer and IAR compliance
- Review and approve/decline requests by Registered Representatives to Invest in Private Securities Transactions and Outside Business Activities
- Conduct email and social media reviews
- Partner with agency management to maintain corrective action plans
- Review outgoing/incoming correspondence for compliance
- Ensure client files are compliance with FINRA and SEC Rules
- Take control of the Implementation for Firm Element Cont. Education Program
- Present at the Annual Compliance Meeting and document Advisor Training
- Conduct 3rd Party verification Phone Calls for checks and wires
- Supports the Operations division in a Supervisory Capacity
- Promptly notify and advise the Home Office Compliance team of any potential or threatened Customer Complaints Demands and Legal Actions received by Producers or Associates
Qualifications Needed (Skills Education Training and Registrations)
- MUST HAVE Series 7 and Series 66; and Series 24 within 3 months of hire date
- BA/ BS Degree Preferred
- Minimum 1-5 years of related work experience
- Thorough understanding of compliance requirements suitability and security transactions for the financial services industry
- Competencies: computer skills analytical uses sound business judgment interpersonal skills and superior attention to detail. Displays professionalism and confidentiality.
Salary:
Full time position with a salary range of 80k to 130k depending on experience
Medical Dental Vision 401k Generous Paid time off
Hours 8:30 a.m. to 5:00 p.m.
Location: East Hills New York 11548
We are an Equal Opportunity Employer.
We provide equal employment opportunities (*EEO) to all employees and applicants for employment without regard to race color religion gender sexual orientation gender identity or expression national origin age disability genetic information marital status citizenship status ancestry status as a protected veteran or any other protected classes in accordance with applicable federal state and local law. *EEO applies to all terms and conditions of employment including hiring placement promotion discipline termination leave of absence compensation and training. *
Required Experience:
Manager
Employment Type
Full-Time
