SQL DBA II
Los Angeles, CA

Job Description

The Business Conduct Examiner will report directly to the Business Conduct Manager and will be responsible for broker-dealer compliance. The ideal candidate is able to work independently under minimal supervision with great attention to detail and accuracy.

* Provide written responses, supporting documentation, and data files to formal regulatory inquiries and examinations
* Review customer activities through surveillance and exception reports
* Requires 30% travel to regional office locations to perform inspections and compiling reports
* Implement the annual firm element continuing education program
* Correspond with all levels of firm colleagues through phone and/or in person
* Conduct ongoing compliance meetings
* Provide continuing support to the department's ongoing compliance initiatives

Experience and Skills

* FINRA Series 7 (Series 24 to be completed within 12 mos.)
* 5+ years in Securities Firm
* Bachelors in related field required
* Ability to travel (at least 30%)
* Basic knowledge of regulatory rules
* Experience conducting meetings and presentations
* Ability to work on simultaneous projects and adhere to strict deadlines
* Prior experience in compliance-related area a plus