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Director of Regulatory Affairs

Company: ProEquities, Inc.
Location: Birmingham
Posted on: November 19, 2019

Job Description:

The Director of Regulatory Affairs position is a senior level compliance role within ProEquities compliance reporting directly to the Chief Compliance Officer. -This role has primary responsibility for the following: "---"---Effectively manage and coordinate all regulatory examinations from the SEC, FINRA, and state securities and insurance regulators. - Respond to all inquiries from regulatory bodies for information pertaining to ProEquities and/or its representatives' activities. Identify when required regulatory filings (e.g., Form BD, MA, ADV, 4530, U4/U5, NIPR) must be submitted to designated regulators and coordinate these filings in a timely manner. Manage the complaint handling process. Closely coordinate with the CCO to identify potential areas of liability and help craft responses to manage liability. Maintain primary responsibility for managing the firm's written supervisory procedures (WSPs) and corresponding registered representative manual (RR Manual). -Must coordinate with all departments within ProEquities to evaluate necessity of policies, effectiveness of policies, and make changes where appropriate. Coordinate other assignments, not listed above, as requested by the CCO or other senior leaders of ProEquities. "---Must have strong organizational skills and be able to coordinate multiple competing priorities. -Must pay strict attention to detail and have an ability to prioritize. - Qualifications Minimum of 7 years of BD compliance experience Experience in the independent BD model preferred Management experience preferred College degree required; advance degree preferred Current Series 7 is an absolute requirement to apply - Must obtain Series 24 within 90 days of employment Ability to manage multiple responsibilities and priorities to meet deadlines. Strong working knowledge of SEC and/or FINRA rules regulating BDs and RIAs Ability to identify issues, think proactively, and begin resolving them without waiting to be told to do so Ability to operate with minimal supervision if the circumstances dictate along with the ability to keep CCO informed of your projects and workload Ability to understand business, regulatory and legal risks and communicate them to appropriate parties and take action to mitigate those risks. Must have a collegial and collaborative approach and work effectively with others. Excellent written skills. Ability to persuade and ability to be a team player if your recommendations are not followed. Some travel may be required, less than 10-15% -

Keywords: ProEquities, Inc., Auburn , Director of Regulatory Affairs, Executive , Birmingham, Alabama

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