Compliance Officer

Posted on September 19, 2022

Compliance | Full Time

The Impact Partnership is seeking seasoned a Compliance Officer with financial industry experience responsible for assisting in the review of advertising and marketing materials created for financial professionals to market themselves or their practices. Responsibilities include familiarity with the Investment Advisor Act, Securities Act of 1933 and state specific insurance rules and regulations. This is a ground-floor opportunity to work in a dynamic firm with experienced leadership. This position will report directly to the Vice President of Compliance and serve as a leader who can find solutions rather than simply saying “no” to a request. The role will work in a cross-functional approach, not only supporting financial professionals with direct conversations but also supporting other stakeholders in the marketing, radio, and television departments.

RESPONSIBILITIES

  • Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer and Vice President of Compliance;
  • Review advertising and marketing materials;
  • Play a lead role in building relationships with financial professionals and conduct compliance-training consultations when needed.
  • Research regulations by reviewing insurance and securities rules and regulations.
  • Develop, review, and maintain compliance policies, procedures, and forms;
  • Prepare comprehensive management reports by collecting, analyzing, and summarizing information;
  • Prepare for and execute onsite audits and develop detailed audit reports;
  • Review personal trading and resolve Code of Ethics matters;
  • Prepare required regulatory filings and updates;
  • Monitor trading activity, blotters, and exception reports when needed;
  • Review contracts and conduct third-party due diligence; and
  • Contribute to the team effort by accomplishing related results and goals as required.

PREFERRED SKILLS & ABILITIES

  • Sound understanding of securities and insurance rules and regulations (all 50 states) regarding advertising and unfair methods business practices;
  • Thorough knowledge of life insurance and annuity products;
  • Strong problem-solving and researching skills;
  • Critical-thinking skills with the ability to use logic and reasoning to identify strengths and weaknesses of alternative solutions, conclusions, or approaches;
  • Sound business judgment and strong decision-making ability;
  • Ability to respond effectively and timely to representatives and clients;
  • Exceptional relationship-building skills and ability to effectively work with other departments within the firm;
  • Excellent communication and public presentation skills; and
  • Ability to travel up to 10% of the time.

EDUCATION & EXPERIENCE REQUIREMENT

  • Minimum of five years of financial services industry experience;
  • Bachelor’s degree or equivalent combination of education and work experience;
  • Strong computer skills for managing data, report creation, developing presentations, etc.; and
  • Insurance licensing required within 90 days. Series 7, 24, 65 or 66 a plus, but not required.

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