Broker-Dealer Compliance Associate

Opportunity

Seeking a compliance associate for a securities industry regulatory consulting firm to establish and/or maintain the compliance program for its broker-dealer clients.

Company

DFP Regulatory Services LLC, founded in 1999, is a compliance consulting firm which provides expert support to the financial services industry. Our client base includes broker-dealers, investment advisers, privately held funds, and the US arms of foreign banks. The firm’s parent company is DFP Partners CPA, P.C., a CPA firm formed in 1952 whose services include accounting, bookkeeping, and outsourced Financial and Operations Principals.

Responsibilities:

· Assist in testing and executing compliance programs which may include supervisory control testing and mock examinations

· Assist in project work which may include branch inspections or remediation efforts as a result of a regulatory exam

· Support the activities of the firm’s consultants:

o Development and maintenance of written policies and procedures

o Development and maintenance of Business Continuity Plans and Continuing Education Plans

o Drafting materials for annual compliance meetings

o Drafting of CEO Certification Reports

o Assisting in the support of client Anti-Money Laundering programs

o Assist in day-to-day regulatory requirements such as email review and/or reviewing brokerage statements

o Assisting clients with FINRA, SEC or state regulatory examinations

· Support the production and filing of FINRA New and Continuing Membership Applications

o Drafting of Business Plans, Organizational Charts, Officer Biographies, and other documents needed for the filing

o Participating in calls/meetings with clients and responding to inquiries/requests from those clients

o Taking responsibility for ensuring all members of the working group are current on project progress and status

· Become knowledgeable in all aspects of our consulting business with an eye towards becoming a consultant

Requirements:

· Bachelor’s degree (Finance or related discipline preferred)

· 2-3 years compliance experience at a broker-dealer, regulator or consulting firm

· Some exposure to FINRA and/or the SEC in an examination setting a plus

· Email review and trade surveillance experience

· Ability to obtain FINRA registrations, such as the SIE, Series 7, and Series 24

· Ability to work independently, as well as, in a group

· Ability to multi-task, manage projects and time effectively

· Excellent communication skills, writing skills, interpersonal skills, etc.

· Adaptable personality (to work closely with a highly diverse client base and consultant staff)

· Ability to learn and navigate different vendor platforms (i.e., Global Relay, Hadrius, etc.)

· Some travel may be required

Position open to candidates residing anywhere in the U.S.

Pay: $80,000.00 - $95,000.00 per year

Benefits:

• 401(k)
• Dental insurance
• Employee assistance program
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Vision insurance

Experience:

• compliance at a BD, regulator or consulting firm: 2 years (Required)

Work Location: Remote