Lewis James Professional

Wealth Management Compliance Specialist

Lewis James Professional is a woman-owned staff augmentation, project consulting and direct hire search and placement firm. We are currently seeking a Wealth Management Compliance Specialist for a direct hire opportunity with a financial services client.

Responsibilities:

  • Responsible for Broker Dealer activity including Securities Trading and Annuity Principal Review and Approval.
  • Meet all regulatory requirements pertaining to transaction review.
  • Review of Electronic Correspondence/Social Media Review to ensure compliance with Regulatory requirements as well as current firm policy.
  • Implement and enforce internal compliance related procedures, training and identification of potential harmful trends, sales practice patterns, conflicts of interest or issues that potentially pose a risk to the firm.
  • Provide regular updates and communication with advisors, Sales Managers, Team Lead and Business Partners to keep abreast of observations, trends and policy oversights.
  • Primary approval of advisor Regulation Best Interest documentation as it pertains to trigger events assigned for review by the Central Supervision Group.
  • Review and approve Retail Communications, Seminars and Speaking Engagement requests to ensure regulatory requirements are met which includes but not limited to proper disclosures, fair and balanced communication, adherence to Intellectual Property and Copyright requirements.

Qualifications:

  • Experience in FINRA Series 7, 24, 53, and 66 licenses (Series 9&10 can be used in lieu of 53. Series 63&65 can be used in lieu of Series 66)
  • Life/Health and Variable Insurance Licensing
  • 2-7 years related retail brokerage and/or investment advisory experience with an emphasis in Supervision/Compliance.
  • Must have exceptional industry disciplinary history.
  • Strong written and verbal communication skills with demonstrated ability present ideas effectively to a group.
  • Solid decision-making and judgment capabilities.
  • Sound investigative skills and ability to follow up and manage cases.
  • Employee must have a thorough knowledge of retail brokerage and investment advisory industry rules, regulations and operations.
  • Strong organizational skills and the ability to multi-task are also required.

Preferred Qualifications:

  • Bachelor's degree in Finance or Business.
  • 7 or more years of regulatory, compliance or supervisory experience
  • FINRA Series 4

For immediate consideration, please click “Apply” and use Job Code BHJOB11837_2683_. You may also send a copy of your resume to: resumes@lewisjamesprofessional.com and enter only the following job code in the subject line: BHJOB11837_2683. Lewis James Professional is an Equal Opportunity Employer. M/F/D/V