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Broker/Dealer Compliance Associate

Company: Country Financial
Location: Bloomington
Posted on: December 4, 2019

Job Description:

Broker/Dealer Compliance Associate US-IL-Bloomington As a Broker/Dealer Compliance Associate at COUNTRY Financial, you will be focused on partnering with field-based representatives and various business units to drive compliance with SEC, FINRA, MSRB, and federal and state securities laws, rules and regulations. In this role, you will be responsible for the initial and ongoing registration requirements of our 1,400 securities registered representatives. Responsibilities: Processes, authorizes and files all FINRA filings (e.g. Form U-4, Form U-5, 4530 filing) and associated documentation. Reviews and monitors the completion of all Investment Services training programs to ensure compliance with applicable securities laws, rules and regulations. Records data into the broker/dealer's databases and systems in order to track the compliance and registration requirements for CCMC and its registered reps. Recommends and contributes to the development of departmental processes and other procedures to assure overall compliance with securities registration, suitability, and compliance requirements. Preferred Qualifications: Possesses the following FINRA registrations or their equivalents within 90 days of hire: SIE Exam: Securities Industry Essentials Series 6: Investment Company/Variable Contracts Limited Representative Possesses the following FINRA registrations or their equivalents with 120 days of hire: Series 26: Investment Company/Variable Contracts Limited Principal Excellent written and oral communication skills. Possesses analytical ability with a strong proactive approach, attention to detail, and problem-solving skills in situations where outcomes may be ambiguous. Required Qualifications: Typically requires: High School diploma or GED. At least 1-2 years of securities/compliance or related work experience. Physical Requirements: Normal office environment. Work may extend beyond normal business hours as business needs dictate. For more details about careers at COUNTRY Financial, please visit us online at ********************************* COUNTRY Financial does not generally sponsor individuals for employment-based visas for this position.

Keywords: Country Financial, Bloomington , Broker/Dealer Compliance Associate, Sales , Bloomington, Illinois

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