<p>ESSENTIAL DUTIES AND RESPONSIBILITIES</p> <ul> <li>Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations </li><li>Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance. </li><li>Assist in annual compliance interviews or meetings with all registered representatives and associated persons. </li><li>Assist in preparing responses to broker/dealer questionnaires. </li><li>Provide support to branch office managers and branch personnel regarding compliance. </li><li>Assist in providing training to new employees in Branch Offices. </li><li>Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required. </li><li>Perform other functions and tasks as may be assigned by management. </li></ul> <p>EDUCATION AND/OR EXPERIENCE</p> <ul> <li>Bachelor's degree in a related field. </li><li>3+ years of related experience and/or training preferred </li><li>Experience in compliance auditing with a securities and/or investment company desired. </li><li>Equivalent combination of education and experience. </li></ul> <p>CERTIFICATIONS, LICENSES, AND REGISTRATIONS</p> <p>(may be acquired within six months after employment)</p> <ul> <li>SIE - Securities Industry Essentials </li><li>Series 7 - General Securities Representative </li><li>Series 63 - State Law Exam </li></ul>