The Broker Dealer (BD) Compliance team is responsible for making sure that the Firm’s policies and procedures are followed regarding the products, processes, procedures, and services offered. Our core function is to guide and advise our internal partners and field on the policies and procedures of the BD, as well as the rules and regulations of our highly regulated industry. We work in partnership to find solutions where possible to the challenges faced by our business partners and field force so that each can achieve their objectives in a compliant manner. And, when necessary, educate on the reasoning and risks when the desired answer is not possible.
This is a hybrid role, candidates must be located near an office hub: St Cloud, MN | Des Moines, IA | El Segundo, CA | San Diego, CA | Dallas, TX.

WHAT YOU WILL DO:

• Respond to and address inquiries from field and home office personnel to assure compliance with the applicable laws, regulations and firm policy and procedures.
• Address emails and phone calls coming into the Compliance Inbox and Compliance Hotline
• Review and process client accommodations requested by field partners.
• Monitor industry publications/notifications for regulatory notices and new rules.
• Assist with updating compliance policies and procedures manuals.
• Provide oversight of surveillance reports to ensure actionable items are addressed.
• Review and acknowledge requests for Private Securities Transactions
• Liaison for Security and Vulnerable Adult Incidents with our field and internal partners
• Review Office Sharing arrangements for the firm.
• Provide secondary review for regulatory responses.
• Identify and maintain risk areas for annual compliance training.
• Monitor and test firm policies and procedures based on risk levels to the firm.
• Perform 3120 and ad hoc testing on specific Compliance and firm functions.
• Provide occasional training to field and home office personnel on compliance topics.
• Review and analyze individuals seeking to affiliate with the firm.
• Input cases and documentation into respective firm approved tools.
• Keep abreast of new products, technologies and their applications and compliance implications.
• Primary contacts for this position are:
• Designated Principals and Registered Representatives in the field
• Internal partners such as Supervision, Resource Center, and OperationsProject work as needed

Not many teams can say that they support people’s dreams coming to life… We happen to do that every day. And as important as we know your career is, we recognize that there’s a whole lot more to life. To ensure that our Employees can make the most of their time outside of working hours, we offer a competitive salary and for full-time roles, a benefits package including:

• Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
• Easy access to mental health benefits to meet our team members and their families where they are.
• 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
• 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
• Paid parental leave to support all team members with birth, adoption, and foster.
• Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
• Employee Assistance Program (EAP), LifeLock, Pet Insurance and more