Full-Time Senior Compliance Officer

Position: Senior Compliance Officer

Company: B. Riley Securities

Description: Provides investment banking, corporate finance, advisory, research, and sales and trading services.

Overview: Seeking a full-time Senior Compliance Officer with 8+ years of relevant securities industry experience. Offers quarterly bonus eligibility and a competitive base salary, complemented by a comprehensive total rewards package.

Duties:

• Work closely with the Chief Compliance Officer to develop and maintain the Firm’s compliance program.
• Represent the Compliance Department on various cross-functional project teams.
• Manage and complete “Compliance Projects” as assigned.
• Develop, maintain, and update the Compliance Department’s written standard operating procedures.
• Oversee and conduct internal investigations into compliance violations.
• Perform regulatory research and coordinate with legal counsel.
• Prepare clear and concise reporting on assigned Compliance Projects.
• Help foster a culture of compliance.
• Stay current on regulations and industry best practices.
• Perform other duties as assigned.

Education, Experience and Skills:

• Bachelor’s degree in Business, Law, Finance, Economics, or related field.
• Minimum of 8-10 years of regulatory compliance experience in the securities industry.
• Minimum of 3 years of supervisory experience required.
• Valid FINRA SIE, Series 7, Series 24 License preferred.
• Detailed knowledge of consumer protection regulations and related guidelines.
• Strong communication, critical thinking, relationship management and project management skills.

What is the last date for applying to the job?

Which countries are accepted for this remote job?