Compliance / Supervision Analyst
TCFG Wealth Management, LLC – Laguna Niguel, CA 92677
The Certus Financial Group (TCFG) is seeking a hire Compliance Associate. This position is charged with with supervising and maintaining ongoing relationships with Registered Financial Professionals to educate, guide, and assist them with their compliance responsibilities and ensure they are meeting the standards and requirements of supervision set forth by regulatory agencies and the Firm. In addition, the position is responsible for overseeing securities registration and licensing of Financial Professionals. Duties include providing outstanding customer service to Financial Professionals through written correspondence, email, and via phone.
Responsibilities
Specific areas of responsibility include, but are not limited to:
Supervisory responsibility for assigned Financial Professionals as part of a supervisory team
Ensure Financial Professionals understanding and compliance with all firm and industry requirements by proactively communicating the firm’s policies and procedures
Follow up on audit findings and proactively address potential compliance issues to minimize risk to the client and the firm
Identify suspicious patterns in sales and business practice. Conduct investigations and takes appropriate corrective action as needed in collaboration with the internal Compliance team
Identify and execute training based on advisor needs and opportunities
Actively monitor the supervisory systems for assigned Financial Professionals and assist in the resolution of heightened transaction review issues and various other situations and make the final decision
Act as a conduit of information between the Home Office and the field to assist with problem solving.
Assist with regulatory exams and requests as well as assist with other internal investigations and reviews relative to supervised Financial Professionals
Maintain internal controls and monitor adherence to them
Proactively audit processes, practices and documents to identify weaknesses
Evaluate business activities (e.g. investments) to assess compliance risk
Address concerns or questions on regulatory compliance
Skills
Knowledge of mutual funds, annuities, general securities, and other financial products required
Ability to work in a fast-paced, demanding environment
Strong knowledge of FINRA SEC, and state rules and regulations
Ability to develop compliance systems and strategies for effective supervision
Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
Excellent oral and written communication skills
Ability to make regulatory and supervisory-based decisions will be necessary to complete the day-to-day functions of the role and for staff support in their role as Branch Office Manager
Proactive collaboration and service-based responses with internal departments on escalated issues and concerns is essential
Excellent management and human relations skills
Integrity and professional ethics
Teamwork skills
Attention to detail
Qualifications:
Undergraduate degree in Business, Accounting, Finance or related discipline
2+ years industry experience
Licenses/Certifications Required/Preferred: Series 7, 9 and 10 (or Series 24); Series 66 (or S63 and S65) preferred
Experience with all Microsoft applications, Specifically, Excel, Word.
Job Type: Full-time
Benefits:
401(k)
Dental insurance
Health insurance
Vision insurance
Experience:
Financial services: 2 years (Required)
License/Certification:
Series 7 (Required)
Series 24 (Preferred)
To apply please email bwalsh@tcfgwealth.com