Job Description

Job Summary

We are seeking a dedicated and detail-oriented Compliance Officer to join our team. This pivotal role involves overseeing the SEC securities-related activities, including communication, trading, investing, and public offerings.

The ideal candidate will possess a strong background in technical accounting, internal audits, and fraud prevention detection, with a focus on maintaining the integrity of our financial operations. This position is essential for safeguarding our organization against compliance risks and fostering a culture of accountability.

Follow other SEC rules, such as:

• The Best Interest (Reg BI) Amendment, which requires broker-dealers to record interactions with retail customers.
• Marketing rules, which require financial firms to keep records of advertisements and promotions for at least five years.
• Rule 204-2(a)(7), which requires registered persons to keep records of communications related to recommendations, funds, and securities
• Store records in a non-alterable format, such as WORM (write once, read many).

Responsibilities:

• Develop, implement, and maintain compliance programs that align with regulatory requirements including TILA and SOX.
• Conduct regular internal audits to assess compliance with established policies and procedures.
• Monitor financial software systems for compliance issues and ensure accurate reporting.
• Collaborate with corporate accounting teams to ensure adherence to accounting standards and practices.
• Identify potential areas of risk related to fraud prevention detection and recommend corrective actions.
• Prepare detailed reports on compliance findings and present them to senior management.
• Stay updated on changes in regulations affecting the organization and communicate these changes effectively.
• Provide training and guidance to staff on compliance-related matters.

Qualifications:

• Proven experience in compliance management, corporate accounting, or public accounting roles.
• Strong knowledge of technical accounting principles and financial regulations.
• Familiarity with internal audit processes and fraud prevention detection strategies.
• Excellent analytical skills with attention to detail.
• Strong communication skills, both verbal and written, with the ability to present complex information clearly.
• Ability to work independently as well as collaboratively within a team environment.

We encourage all qualified candidates who meet these criteria to apply for this impactful role within our organization.

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