Compliance Examiner (2322-732)

Waddell & Reed Financial, Inc Overland Park , KS 66204

Posted 3 months ago

Travel to Waddell & Reed affiliated field offices to examine the procedures and activities of the office, advisors, and managers associated with each office, evaluating them for compliance with applicable company and industry rules and regulations.

Required Skills:

  • Schedule, plan, and prepare pre-audit material for branch office audits.

  • Research advisor and office activities including, but not limited to, client files, transaction details, advertising, and correspondence to identify red flag issues, determine conformity with regulatory rules and firm procedures, as well as identify potential exposure to regulatory risks.

  • Conduct risk based examinations encompassing a review of sales practices, recordkeeping, and compliance policy adherence.

  • Interview financial advisors, field leaders, and administrative assistants regarding office procedures and activities.

  • Prepare exam report findings of office visits and take follow-up action as necessary.

  • Be a resource for field leaders and advisors by responding to routine inquiries concerning compliance issues.

  • Remain familiar with current FINRA and state regulatory issues as well as the company's own written compliance policies.

  • Travel to field offices regularly (approximately 35-50% travel).

  • Responsibly complete expense reports and other paperwork in a timely, accurate manner.

  • Other responsibilities as assigned by management.

Required Experience:

  • 1 - 2 years brokerage industry experience

  • Series 7 license

And one of the following:

  • College Degree and two to four years of pertinent compliance experience - or -
  • Six or more years of pertinent Financial Services compliance experience - or -
  • Equivalent combination of college education and pertinent compliance experience

Additional knowledge, skills and experience desired:

  • Series 24 strongly preferred (must obtain Series 24 within first 180 days).

  • Strong verbal and written communication skills.

  • Ability to interact professionally with senior management, exhibiting diplomacy and tact.

  • Demonstrated ability to perform investigative, analytical and interviewing responsibilities.

  • Ability to work independently, exhibiting inquisitive nature, sound judgment and discretion.

  • PC proficiency, including experience with Word, Excel, and Access.

  • Ability to handle travel responsibilities and expenditures in a dependable way.

  • Must be detail oriented, with strong organization and follow-up skills.

  • Regular and predictable attendance.

  • Knowledge of FINRA/SEC rules.

  • Familiarity with product lines and forms of field compensation.

Years of Experience:
2+ to 5 Years

Level of Education:
4 Year Degree or equivalent industry experience


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VIEW JOBS 11/11/2019 12:00:00 AM 2020-02-09T00:00 Travel to Waddell & Reed affiliated field offices to examine the procedures and activities of the office, advisors, and managers associated with each office, evaluating them for compliance with applicable company and industry rules and regulations. Required Skills: * Schedule, plan, and prepare pre-audit material for branch office audits. * Research advisor and office activities including, but not limited to, client files, transaction details, advertising, and correspondence to identify red flag issues, determine conformity with regulatory rules and firm procedures, as well as identify potential exposure to regulatory risks. * Conduct risk based examinations encompassing a review of sales practices, recordkeeping, and compliance policy adherence. * Interview financial advisors, field leaders, and administrative assistants regarding office procedures and activities. * Prepare exam report findings of office visits and take follow-up action as necessary. * Be a resource for field leaders and advisors by responding to routine inquiries concerning compliance issues. * Remain familiar with current FINRA and state regulatory issues as well as the company's own written compliance policies. * Travel to field offices regularly (approximately 35-50% travel). * Responsibly complete expense reports and other paperwork in a timely, accurate manner. * Other responsibilities as assigned by management. Required Experience: * 1 - 2 years brokerage industry experience * Series 7 license And one of the following: * College Degree and two to four years of pertinent compliance experience - or - * Six or more years of pertinent Financial Services compliance experience - or - * Equivalent combination of college education and pertinent compliance experience Additional knowledge, skills and experience desired: * Series 24 strongly preferred (must obtain Series 24 within first 180 days). * Strong verbal and written communication skills. * Ability to interact professionally with senior management, exhibiting diplomacy and tact. * Demonstrated ability to perform investigative, analytical and interviewing responsibilities. * Ability to work independently, exhibiting inquisitive nature, sound judgment and discretion. * PC proficiency, including experience with Word, Excel, and Access. * Ability to handle travel responsibilities and expenditures in a dependable way. * Must be detail oriented, with strong organization and follow-up skills. * Regular and predictable attendance. * Knowledge of FINRA/SEC rules. * Familiarity with product lines and forms of field compensation. Years of Experience: 2+ to 5 Years Level of Education: 4 Year Degree or equivalent industry experience Job Location Overland Park, Kansas, United States Position Type Full-Time/Regular Apply Ivy Nextshares Overland Park KS

Compliance Examiner (2322-732)

Waddell & Reed Financial, Inc