Compliance Officer, Supervision

Edelman Financial Services
Fairfax, VA
Mar 20, 2017
Mar 21, 2017
Accountant, IT
Full Time
Edelman Financial,one of the nationa€ (TM) s largest and most well-known financial planning firms, isseeking aCompliance Officer, Supervision to join our Compliance team in Fairfax, VA. The Compliance Officer - Supervision is responsible for the supervisory support duties of the Compliance Department including the review and approval of new account documentation, transactions, correspondence, e-mail, blotters, gifts and gratuities, suitability, and complaint reporting. The individual will also work on AML activities, supervising the firma€ (TM) s employees and reviewing client facing trainings. ResponsibilitiesReview new account documentation and alertsReview and approve client transactions and exception reportsConduct routine surveillance of e-mail to identify issues for potential escalationCommunicate policies and procedures to staffDraft policies, procedures and Compliance Memoa€ (TM) sReview client correspondenceConduct branch office examinationsIncident ReportingPerform other duties as assigned RequirementsA bachelor's degree preferred, or at least 2 years equivalent industry experience in compliance related position dealing specifically with investment oriented matters.FINRA Series 7, 24, 53 and 65 (or 66) required, or will need to be obtained within 6 months of starting employment.Insurance License required or will need to obtain within 6 monthsMinimum 3 years financial services industry compliance experience specifically in a broker/dealer or registered investment advisor environment required.Knowledge of FINRA/SEC regulationsIn-depth investment product knowledge (ETFa€ (TM) s, Mutual Funds, Annuities, etc.)Ability to multi-task and handle a variety of responsibilities at one timeStrong organizational skills and extremely sensitive to detailExperience with all Microsoft applications particularly Word and ExcelExcellent interpersonal skills, as necessary to work effectively with staff at all levelsTeam playerThis position requires an extremely perceptive person, who is capable of relating to individuals at all levels.Ability to establish consultative relationships with all levels of the organization.Must be able to travel up to 25% of the time For more information: EOE. A comprehensive background check may be conducted on applicants for this position. Edelman Financial Services has an employment at-will policy..

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