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CG Compliance Specialist

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General Description: The Broker Dealer Compliance Specialist is responsible for gathering, organizing, analyzing, and distributing materials used by Compliance Department and line management in the execution of their duties designed to maintain the firm's compliance with federal, SRO, and state securities regulation. The position will work with compliance/operational processing and back office systems designed to retain required records specific to the B/D and investment advisory businesses, including New Accounts, Commissions, Licensing, FINRA Registration and Brokerage Services. The Compliance Specialist position is critical to the effectiveness of the Compliance Department.


  • Coordinate all CRD registration requests and assist the CCO in the review of prospective Registered Representatives.
  • Process FinCEN 314(a) requests promptly.
  • Conduct Quality Control Review of daily brokerage firm transactions.
  • Conduct Registered Representative e-mail surveillance under the direction of CCO.
  • Prepare Branch Office files for cycle inspections consistent with the firm's review program module.
  • Gather and organize materials and records necessary to prepare a needs analysis and propose a Firm Element Continuing Education Program.
  • Verify and gather information for the firm's Business Continuity Program.
  • Process outside brokerage account requests and maintain records that permit the review of such.
  • Reconcile and allocate Monthly CRD charges among branch offices.
  • Obtain and organize records related to Cash and non-Cash Compensation made available to Registered Representatives by Product Sponsors.
  • Assist the CCO on compliance issues and special projects.

 Knowledge, Skills and Abilities:

  • Knowledge of broker-dealer/investment advisor operations.
  • Bachelor's Degree, or a minimum of 5 years work related experience.
  • Excellent communication, organizational, and time management skills.
  • Series 7, 24, 53 or willingness to study and obtain within preset deadlines.
  • Proficiency with Microsoft applications (i.e., Word, Excel, and PowerPoint) and internet based media.
  • Excellent organizational skills, detail-oriented and problem-solving capabilities.
  • Highly analytical with excellent research skills.
  • Ability to work independently and manage multiple high priority projects.
  • Ability to work within deadlines.
  • Ability to work in a fast paced environment.
Job ID: 1977
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