Sr. Compliance Analyst

Posted: 01/30/2020
Full Time
Phoenix, AZ
Reporting to the Chief Compliance Officer (CCO), this position is responsible for supervision of CCO Capital, LLC registered individuals to ensure adherence to firm and regulatory policies, procedures and rulemaking. Series 7 and 24 required
Essential Functions
  • Series 7 and 24 required
  • Direct responsibility to supervise securities-related activities of registered representatives for adherence to documented standards of conduct
  • Branch Audits
  • Review and Acceptance of New Accounts
  • Transaction Suitability Reviews
  • Email Supervision
  • Expense Reviews (client appreciation, marketing events, business entertainment)
  • Direct responsibility for revising and updating supervisory aspects of the firm’s compliance program, including those elements in the compliance manual
  • Maintain appropriate records required by compliance program
  • Acts as resource to management and employees on compliance program related matters
  • Supervisory Responsibilities:
  • Act as a FINRA-regulated supervisor of registered representatives in the various sales channels of CIM Group
  • Acts a team lead on compliance-related projects
  • Education/Experience Requirements
  • Bachelor's degree
  • Minimum 5 years’ experience in supervising broker/dealer activities
  • Series 7 and 24 required
  • Technical Skill Requirements
  • Proficiency in Microsoft Office including Word, Excel and Outlook
  • CIM does not accept unsolicited resumes from Agencies.  Any unsolicited resumes received from Agencies will be considered property of CIM and no fees will be due or paid.  If you wish to become an approved Agency with CIM or any of its Affiliates, please contact a member of the CIM Talent Acquisition Team.