Compliance Officer

The Investment Center, Inc.

Location: New Jersey

Position Overview:

The primary responsibilities for this position would include transaction analysis of trading records, advertising/sales literature and social media reviews, surveillance, RIA and broker-dealer issues.

Additional responsibilities would involve conducting onsite compliance audits at independent branches located throughout the U.S. for The Investment Center, Inc. (TIC), an independent broker-dealer, and its affiliated Registered Investment Advisory firm.

Position Requirements:

This position is responsible for, but not limited to the following:

• Field calls from advisors when they need assistance with compliance issues.

• Write articles on various securities industry topics for weekly compliance newsletter

• Ability to organize, prioritize and follow-up with the firm’s advisors in a timely manner.

• Ability to work flexible hours.

• Excellent verbal and written communication skills.

• Broker/ Dealer compliance and general securities background

• Excellent knowledge of TIC products and services.

• Ability to work independently.

• Approximately 25% or less travel is expected.

Skills:

• Must have a commitment to culture and demonstrate professionalism, accountability and work in a team environment.

• Superior time management, problem solving, critical thinking, and decision-making skills are required.

• Skill in operating various software packages (i.e. Microsoft Office Products - Outlook, Excel, Word, PowerPoint, etc.).

• Bachelor’s degree in business related field or equivalent work experience.

• Experience in the securities industry a plus.

• Series 7 and Series 24 required (or pass within 120 days of employment)

We offer benefits including 401K, medical and dental coverage.

To apply, please email your resume and salary requirements to lmacalalad@investctr.com.