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Compliance Director - Client and Regulatory Inquiries Group

Securities America, Inc. La Vista, NE

Job Description

Client and Regulatory Inquiries Group

The primary responsibility for this director position is to provide leadership and management to Securities America’s Client and Regulatory Inquiries Group (CRIG) activities. The director reports to Security America’s Chief Compliance Officer (CCO). Specific responsibilities include: 

• Lead CRIG Analysts 

• Performing lead functions on critical and complex regulatory inquiries

• Formulating, communicating, and implementing policies, procedures and systems to efficiently, effectively provide CRIG-related services to Securities America’s independent advisors

• Provide regular communications, updates, and recommendations to firm management regarding regulatory inquiries, customer complaints, or arbitration cases

• Participate in researching and writing responses to customer complaints and regulatory inquiries

• Manage regulatory filings related to complaints, arbitrations, litigations, and regulatory and disciplinary matters

• Review statuses of CRIG team members’ activities, including creating reporting to track work assignments and deadlines

• Provide leadership and direction to CRIG team members, including reviewing written responses prior to them being sent to regulators and customers 

• Serve as a subject matter expert on rules, regulations and procedures for client complaints and regulatory inquiries

• Prepare reports to facilitate trend analysis and other management reporting

• Handling projects assigned by the CCO


Position Requirements

• Bachelor’s degree in finance or business-related field or equivalent work experience 

• Series 7, 24 and 63 or 66  registrations (or obtain these registrations within nine months of hire) 

• 5+ years previous securities industry experience

• 3 – 5 years of previous management experience

• Experience analyzing activities to determine if they fall within regulatory guidelines or jurisdictions

• Experience collecting and analyzing complex data, evaluating information, and drawing logical conclusions (including making needed recommendations for action)

• Ability to work effectively, professionally, and directly with regulators and outside counsel

• Ability to coordinate data gathering and responses with Legal and Supervision

• Experience identifying problems and developing appropriate solutions

• Experience interacting with various levels of senior management

• Experience working with sensitive, confidential issues and information

• Experience organizing, prioritizing, and handling multiple tasks in order to meet deadlines

• Experience planning and implementing organizational and department goals

• Excellent analytical skills and attention to detail

• Excellent influential and interpersonal skills with a proven client service focus

• Knowledge of FINRA, SEC, MSRB, and state securities rules and regulations.  Knowledge of securities industry practices, procedures and terminology

• Experience in delivering effective project leadership, team member coaching, training, and presentations

• Excellent verbal and written communication skills


Preferred Qualifications

• Knowledge of Investment Advisors Act, ERISA and DOL rules and regulations

• Series 4, 53 and variable life and annuity insurance licenses

• 5 - 10 years previous financial services industry experience

• Previous compliance management experience

• Knowledge of Securities America entities, products, and policies and procedures

• Experience working in multiple functional areas within the securities industry

Job Details

Date Posted November 1, 2019
Date Closes December 1, 2019
Address 12325 Port Grace Boulevard
Located In La Vista, NE
Department Conpliance
Function CRIG
Job Type Full-time Employee
Experience Level Intermediate (3-7 yrs. experience)
Start Date Immediately
Positions Available 1
SOC Category 13-1041.00 Compliance Officers, Except Agriculture, Construction, Health and Safety, and Transportation
Zipcode 68128
Name Human Resources
Address 12325 Port Grace Boulevard
City, State and Zip LaVista, NE 68128
Phone 1-800-747-6111
FAX 402-384-7589

This job offers the following benefits

  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • Dental
  • Dependent Life Insurance
  • Employee Assistance Program (EAP)
  • Life Insurance
  • Long-Term Disability
  • Maternity / Paternity / Family Leave
  • Medical
  • Prescription Drug Plan
  • Short-Term Disability
  • Vision
  • Voluntary Life Insurance
  • Bereavement Pay
  • Casual Dress
  • Continuing Education Program
  • Dry Cleaning / Laundry
  • Employee Referral Program
  • Fitness Classes
  • Free Parking
  • Health Fair
  • Holiday Party
  • Massage Therapy
  • Nursing Facilities
  • Paid Holidays
  • Paid Vacations
  • Tuition Reimbursement
  • Wellness Program
  • Bonus Plan
  • Merit Increases

This job requires the following skills

  • Compliance
  • Finance Management
  • Strong Flexibility / Adaptability
  • Strong Work Ethic
  • Microsoft Office

This job is related other jobs in these career categories

Course(s) relevant to the skills listed for this position

At a Glance
Enjoy these benefits
  • 401(k) Retirement Savings Plan
  • Dependent-Care Spending Accounts
  • Flexible Spending Accounts
  • Health-Care Spending Accounts
  • Accidental Death and Dismemberment
  • And More ...