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Compliance Specialist


CT - Glastonbury

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USI Securities, Inc., a broker dealer in Glastonbury, CT is seeking a Compliance Specialist with experience in the retirement and financial services industry.

The ideal candidate would have knowledge of retirement plans in addition to experience in the financial services industry with systems and procedures to create and maintain records specific to the broker dealer/investment advisory business. This position is critical to the effectiveness of the USI Securities Compliance Department. The person in this role will be gathering, organizing, analyzing, and processing materials used by the firm to evidence compliance effectiveness or by management and staff with the firm’s clients and prospects. The execution of these duties will help ensure the firm’s compliance with federal, (Self Reg. Organization (SRO), and state securities regulation.

Primary responsibilities:

     Coordinate FINRA CRD registration requests and assist in the due diligence review of prospective Registered Representatives.

·       Field questions from new and existing staff regarding their FINRA Registrations and obligations to the Firm.

·       Collaborate with members of Human Resources and USI Licensing during the onboarding of sales and client facing staff.

·       Oversee FINRA Gateway and CRD account on behalf of broker dealer.

·       Process Form U4/U5s, amendment updates and maintain proper books & records.

·       Perform compliance oversight functions associated with personal trading/outside brokerage accounts.

·       Assist with administration of the firm’s FORM BD, BR, and FORM ADV.

·       Manage assigned content on Compliance SharePoint Site.

·       Perform electronic communications reviews.

Secondary responsibilities may also include:

·       Support testing and maintenance of written supervisory procedures.

·       Support continuing education, annual certifications, and compliance training programs.

·       Support delivery and tracking of various quarterly or annual notices/reports.

·       Complete special projects as assigned.   

Experience, education and skills:

  • Ability to work in a fast-past environment.

USI is committed to providing a full-suite of competitive benefits for our growing population and its diverse needs. We offer a wide range of health, welfare and financial benefits including medical, wellness, dental and vision, 401(k), flexible spending and health savings accounts, short and long-term disability, life insurance and other unique employer-sponsored and voluntary programs. USI also offers a generous paid time off policy, paid family leave benefit as well as paid holiday time.

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Notice to Recruiters and Agencies regarding unsolicited resumes or candidate submissions without prior express written approval.
Resumes submitted or candidates referred to USI Insurance Services by any external recruiter or recruitment agency by any means (including but not limited to via Internet, e-mail, fax, U.S. mail and/or verbal communications) without a properly executed written contract for a specified position by an authorized member of the Talent Acquisition team become the property of USI Insurance Services. The Company will not be responsible for, or owe any fees associated with, referrals of those candidates and/or for submission of any information, including resumes, associated with individuals.

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