RIA/OSJ Compliance Specialist

Full-Time

Mid-level

$80,000 - $100,000

Gerber Kawasaki Wealth & Investment Management is looking for an experienced Compliance Specialist capable of designing, implementing, and overseeing a comprehensive compliance system across our broker-dealer and RIA lines of business. The Compliance Specialist will conduct and oversee training, compliance, and supervision of associated persons, advise senior management and personnel of emerging compliance issues and consult and advise Gerber Kawasaki in establishing controls to mitigate risks.

Responsibilities:

· Have and maintain up to date a comprehensive compliance program based on SEC regulations that pertain to our RIA business.

· Periodically review systems and procedures to test their functionality and adequacy.

· Oversee, implement, and execute existing broker-dealer compliance systems already in place (trading, client communication, client complaints, advertising, etc.).

· Provide guidance on compliance issues to the various business lines to ensure that things are up to date and structured in a compliant fashion.

· Interpret and incorporate any new pertinent securities regulations in a timely manner.

· Deploy new or leverage existing, technologies and services to make the compliance workflow as efficient and effective as possible.

· Maintain a strong and rigorously documented compliance culture within the firm.

· Assist with the development and implementation of compliance training and continuing education for Gerber Kawasaki advisors and staff.

· Report regularly to senior management on any compliance issues at the firm.

· Assist the firm’s executive team during all interactions with regulators whether in an audit or through inquiry.

· Manage any regulatory filings necessary for the firm’s compliance.

Requirements:

· 3-5+ years of compliance or regulatory experience. Clean record.

· Attention to detail and rigorous work ethic.

· Carry the necessary experience, gravitas, and assertiveness to convey the importance of compliance functions across the various business lines of the firm.

· Ability to work independently to always assure that compliance deadlines are met.

· Strong problem-solving skills.

· Good judgment and a strong ability to make independent decisions.

· Great communication skills and a team player.

· Job Type: Full-time

· Preferable J.D. Degree

· Preferable Securities License

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