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6

Senior Compliance Consultant

6njdnwj9glcb3dl46n5ovoc0nx0zj10101461byxg9ej2oh4odl1tz6jmfsr1m4v · 30+ days ago

Portland, ME, US

$74k+
Estimation

Full-time

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Back Bay Staffing Group seeks a Senior Compliance Consultant to join our client's rapidly growing consulting services business. This position will be responsible for providing high-touch consulting services to our client's broker-dealer clients, and assist with business development.

KEY RESPONSIBILITIES

Manage the Client new membership application process for broker-dealers
Draft customized written supervisory procedures and other required policies and procedures
Serve as a compliance partner to broker-dealer clients
Provide ongoing consulting services, including but not limited to:
- Conducting Annual Compliance Meetings and office inspections
- Assisting with annual 3120 reviews and 3130 reports and certifications
- Reviewing marketing material
- Managing CRD filings
- Assisting with Client sales practice exams
- Advising on, and responding to, regulatory inquiries
- Being available for ad hoc consultative services
Assist with business development and outreach
Conducts self in a professional manner
Responsible for reporting to senior management, including any potential or perceived violations of applicable laws, rules or Company policies

QUALIFICATIONS
Bachelor's degree or equivalent
3 to 7 years of broker-dealer compliance experience in a retail setting
Detailed knowledge of Client rules
Client Series 7 and 24 preferred
Excellent communication and presentation skills
Ability to work effectively and efficiently with multiple clients
Ability to travel (10-15% of time)
Interest in and commitment to business growth
Ability to work independently and manage time efficiently

Interested and qualified parties please email your resume toact Dan Landerfin at Back Bay Staffing Group @ dan@cqbbsg.com. Dan can also be reached by phone @ 617.262.1313.

•

Last updated on Nov 20, 2015

About the company

6

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