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Compliance Specialist

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Broker Dealer Compliance Specialist

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 plan design and administration in addition to experience in a financial services environment 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 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:

  • Assist with the firm’s communication review process (i.e. review retail and institutional  communications, maintain documentation and process filings with FINRA when necessary)
  • Coordinate all CRD registration requests and assist the Chief Compliance Officer in the review of prospective Registered Representatives
  • Perform business location and branch inspections
  • Perform testing and maintenance of written supervisory procedures
  • Perform electronic communications monitoring
  • Support continuing education, annual certifications and compliance training programs
  • Conduct quality control reviews of new business
  • Process outside brokerage account requests, maintain records and review activity
  • Obtain and organize records related to cash and non-cash compensation
  • Gather/verify information and report on the firm’s business continuity program
  • Assist with administration of the firm’s FORM BD and FORM ADV
  • Support delivery and tracking of various quarterly or annual notices
  • Complete special projects as assigned

Experience, education and skills:

  • Knowledge of broker dealer/investment advisor compliance and operations
  • Bachelor’s degree, or a minimum of 4 years work-related experience 
  • Excellent communication, organizational and time management skills
  • Series 7, 24, 52/53 or willingness to study and obtain within preset deadlines
  • Proficiency with Microsoft applications (i.e. Word, Excel, and PowerPoint) and internet  based media

Job ID:

18896

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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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