Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules. About San Blas Securities: San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network.
Numbers & Facts
Location
Chicago, IL
Salary
$80,000–$100,000 Per Year
Description
About San Blas Securities:San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.We are seeking a highly organized and detail-orientedCompliance Supervisorto help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.Competitive Compensation+ bonus based on experience. $80 - $100K Responsibilities include:
Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
Manage Firm’s Onboarding Training Program for compliance with new hires
Schedule new hire training
Assist in administering firm annual training and advisor attestations
Schedule targeted training as required
Foster a culture of compliance
Document supervisory activities
Review advisors purchase and sales blotter
Review advisors communications to (and from) clients
Review/report customer complaints to CCO
Assist in conducting Branch Exams
Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
Qualifications
Bachelor’s degree or experience equivalent
FINRA Series 7 and FINRA Series 24 required
3 – 5 years relevant experience at RIA and BD or industry regulator
Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
Familiarity with RBC and Schwab back-office a plus