Senior Compliance Officer

Ausdal Financial Partners, Inc.

Location: Downers Grove, IL, or Davenport, IA (remote options will be considered)

The Senior Compliance Officer is responsible for supporting the CCO and managing the firm's regulatory compliance effort for the Broker-dealer and Investment Advisor. This role will assist with the day to day operation of the compliance program, providing advice, training and education to its registered representatives, and its senior management. The candidate will also work closely with the Compliance group and CCO to ensure that there is a consistent and coordinated delivery of the compliance program. Compensation will be commensurate with capabilities and experience.

Responsibilities:

• Assist in developing and implementing firm-wide practices and procedures to ensure that regulatory obligations are consistently fulfilled.

• Provide compliance consultation, support, and training to independent registered representatives.

• Interact and correspond with regulators (State, SEC and FINRA) as necessary.

• Review, consultation, and approval of marketing and advertising pieces.

• Review and supervision of electronic correspondence.

• Provide timely and clear guidance to other departments and management on regulatory compliance pursuant to rules and Firm policy.

• Conduct research and maintain compliance with FINRA, SEC, and State rules and regulations.

• Maintain Firm Element and Continuing Education requirements.

• Assist with the administration of vendor software system utilized by the Firm to manage compliance manual and policy acknowledgements, attestations, and other matters.

• Conduct periodic compliance reviews/monitoring in accordance with the established policies and procedures.

• Assist with execution of branch office reviews (20-30%).

Requirements:

• 5+ years of compliance experience at a Broker Dealer, Registered Investment Advisor, dual registrant or regulatory organization.

• Investment Advisory experience (strongly preferred) • Knowledge of FINRA and SEC communications rules and regulations.

• Series 7, 24 and 63 (preferred); must be willing to take (and pass) the exams within the first 120 days of employment.

• Demonstrate initiative and an ability to identify, prevent, and mitigate regulatory risks.

• Ability to prioritize and multi-task effectively under pressure is essential; excellent organizational and time management skills.

• Strong attention to detail and effective written and verbal communication skills.

• Ability to work both independently and as part of a team.

• Positive attitude, superior work ethic, self-starter, strong problem solving skills, and ability to adapt to change.

• Excellent interpersonal skills.

• Proficient in all Microsoft products.

• Bachelor’s degree.