[Remote] Compliance Officer (REMOTE): Communications w/the Public
Note: The job is a remote job and is open to candidates in USA. Axtella, LLC provides business servicing needs to financial professionals across the United States. They are seeking a FINRA Series 24-licensed individual to conduct first-line reviews of public-facing materials and ensure compliance with relevant regulations.
Responsibilities
ā¢ Conduct first-line review of public facing material such as social media, electronic correspondence, advertising, public appearances, websites, and sales literature
ā¢ Answer questions related to FINRA, SEC, and firm policies relating to Communications
ā¢ Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis
ā¢ Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner
ā¢ Collaborate interdepartmentally to identify and solve issues based on Financial Professional and Axtella needs
ā¢ Participate in initiatives to continuously improve policies and procedures
ā¢ Contribute to various ad hoc projects as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more
Skills
ā¢ Bachelor's degree or 4 years of direct compliance-related experience
ā¢ 2+ years' experience in a related position
ā¢ Licenses/Certifications: Series 7, Series 24
ā¢ Experience with Global Relay and Red Oak Advertising Module strongly preferred
ā¢ Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments as they pertain to marketing towards the public
ā¢ Experience with various computer software including Microsoft Excel and Outlook
Benefits
ā¢ Competitive wages
ā¢ Comprehensive benefit package
ā¢ Paid time-off
ā¢ Wellness benefits
ā¢ Paid tuition/education benefit
ā¢ Retirement plan, with employer match
Company Overview
ā¢ Axtella supports the financial network of broker-dealers Sigma Financial Corporation and Parkland Securities, LLC, and a registered investment advisor, Sigma Planning Corporation, and serves a growing network of experienced financial professionals. It was founded in 1983, and is headquartered in Ann Arbor, Michigan, USA, with a workforce of 51-200 employees. Its website is https://sps-family.com.
Apply Now
Apply Now
Responsibilities
ā¢ Conduct first-line review of public facing material such as social media, electronic correspondence, advertising, public appearances, websites, and sales literature
ā¢ Answer questions related to FINRA, SEC, and firm policies relating to Communications
ā¢ Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis
ā¢ Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner
ā¢ Collaborate interdepartmentally to identify and solve issues based on Financial Professional and Axtella needs
ā¢ Participate in initiatives to continuously improve policies and procedures
ā¢ Contribute to various ad hoc projects as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more
Skills
ā¢ Bachelor's degree or 4 years of direct compliance-related experience
ā¢ 2+ years' experience in a related position
ā¢ Licenses/Certifications: Series 7, Series 24
ā¢ Experience with Global Relay and Red Oak Advertising Module strongly preferred
ā¢ Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments as they pertain to marketing towards the public
ā¢ Experience with various computer software including Microsoft Excel and Outlook
Benefits
ā¢ Competitive wages
ā¢ Comprehensive benefit package
ā¢ Paid time-off
ā¢ Wellness benefits
ā¢ Paid tuition/education benefit
ā¢ Retirement plan, with employer match
Company Overview
ā¢ Axtella supports the financial network of broker-dealers Sigma Financial Corporation and Parkland Securities, LLC, and a registered investment advisor, Sigma Planning Corporation, and serves a growing network of experienced financial professionals. It was founded in 1983, and is headquartered in Ann Arbor, Michigan, USA, with a workforce of 51-200 employees. Its website is https://sps-family.com.
Apply Now
Apply Now