Securities Compliance Officer or Attorney

Written By Ingrid Nordskog

PFS Investments Inc.

The Securities Compliance Department is looking for an Attorney or an experienced compliance professional to help maintain a comprehensive compliance program for a Broker-Dealer and Registered Investment Adviser. The position will partner with all business units to ensure compliance with regulatory requirements, conduct compliance testing, implement changes due to regulatory updates, respond to regulatory examinations and inquiries, etc. Depending on background experience, this role may also assist the Firm’s Anti-Money Laundering (AML) and Senior & Elderly Teams, which involves the filing of Suspicious Activity Reports (SARs) and financial exploitation reporting.

The estimated salary range for this role is: 90K - 120K

Location: This is a hybrid position that involves working 3 days onsite in the Duluth, Georgia office and 2 days remotely.

ESSENTIAL DUTIES AND RESPONSIBILITES:

  • Respond to regulatory requests from securities regulators such as FINRA, the SEC and state securities divisions

  • Conduct Compliance monitoring and testing and complete annual supervisory reviews

  • Monitor regulatory updates and implement such changes, when applicable, into the WSP and internal control procedures

  • Partner with other departments to manage the retention of books and records pursuant to regulatory requirements

  • Serve as a compliance subject matter expert and provide guidance to all business units, senior management, and the sales force

REQUIRED QUALIFICATIONS:

  • Bachelor’s Degree

  • Strong working knowledge and understanding of US securities laws and regulations

  • Securities licenses (e.g., Series 7, 24 and 66), or obtained within 150 days of hire

  • High degree of attention to detail and thoroughness are essential for this role

  • Self-starter and excellent analytical skills

  • Strong project management skills

  • Ability to create clear, convincing, well-organized presentations and communications

  • Ability to manage multiple priorities in a fast-paced, everchanging environment

  • Excellent Word, PDF, Excel, and PowerPoint skills

  • Excellent analytical, research, and writing skills

  • Excellent interpersonal relationship skills

  • Excellent verbal and written communication skills

PREFERRED QUALIFICATIONS:

  • MBA, Juris Doctorate or other advanced degree

  • 2-5 years of experience in the financial services industry

  • Experience at or interfacing with securities regulators, such as FINRA, SEC and the Securities Divisions of each state

  • Anti-Money Laundering (AML) experience

  • Relevant compliance experience, including policies and procedures development, compliance risk assessments, responding to regulatory inquiries, etc.

  • Strong leadership skills and demonstrable experience and success in working in high-performance teams

  • Comprehensive understanding of mutual funds, annuities and/or advisory products

Ingrid Nordskog
Previous

Compliance Director
Next

Chief Compliance Officer