901,002 RIA Compliance Officer Jobs Available

RIA/OSJ Compliance Specialist

Gerber Kawasaki, Inc.

Santa Monica,CA United States

RIA/OSJ Compliance Specialist Full-Time Mid-level $80,000 - $100,000 Gerber Kawasaki Wealth & Investment Management is looking for an experienced Comp. . .

Posted on:
02/17/2021
Apply Before:
03/15/2021

"Onsite Scranton, PA Assignment"

Compliance

Scranton,PA United States

APPLY ONLINE You are currently applying for... JOB DESCRIPTION Compliance is currently seeking clerks and JDs for a 2 week onsite assignm. . .

Posted on:
02/21/2021
Apply Before:
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Compliance

Newark,NJ United States

APPLY ONLINE You are currently applying for... JOB DESCRIPTION Compliance Discovery Solutions is seeking New Jersey admitted attorneys, a. . .

Posted on:
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Apply Before:
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AddThis Utility Frame

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Mojave,CA United States

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Posted on:
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A Chief Compliance Officer

Conselium Compliance Search

Chicago,IL United States

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Posted on:
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Apply Before:
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Reporter - RIA

Citywire

New York,NY United States

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Posted on:
02/18/2021
Apply Before:
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RIA Consultant

solution one industries (soi)

Fort Wayne,IN United States

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Posted on:
02/05/2021
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RIA Transition Consultant

Commonwealth Financial Network

Waltham,MA United States

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Posted on:
02/20/2021
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RIA Transition Consultant

Commonwealth Financial

Waltham,MA United States

Overview As the financial services industry continues to evolve, Commonwealth remains committed to its legacy of providing indispensable service: a le. . .

Posted on:
02/19/2021
Apply Before:
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RIA Consultant

solution one industries (soi)

Fort Wayne,IN United States

Palladium Group - RIA Consultant Who You Are You take ownership of your business. You love developing relationships with your advisors and internal te. . .

Posted on:
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Chief Compliance Officer

Legal Intern

Dallas,TX United States

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Posted on:
02/22/2021
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Chief Compliance Officer

San Antonio Bar Association

Dallas,TX United States

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Posted on:
02/24/2021
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Chief Compliance Officer

Association of Corporate Counsel

New York,NY United States

Thrive Capital Management has retained Major, Lindsey & Africa on an exclusive basis to conduct a search for a Chief Compliance Officer to be located. . .

Posted on:
02/15/2021
Apply Before:
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Java RIA Developer

Persistent Systems

San Francisco,CA United States

Beginning of the main content section. Java RIA Developer - San Francisco, CA - (I00181460)Job Description - Java -. . .

Posted on:
02/22/2021
Apply Before:
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RIA Portfolio Administrator

Wealth Enhancement Group

Plymouth,MN United States

Wealth Enhancement Group Wealth Enhancement Group RIA Portfolio Administrator Plymouth, MN 55441 About Wealth Enhancement Group Wealth Enhancement Gro. . .

Posted on:
02/21/2021
Apply Before:
03/16/2021

RIA/OSJ Compliance Specialist

Gerber Kawasaki, Inc.

Santa Monica, CA, United States Salary : $ 80,000 - 100,000

Job Type: Full Time

Category: Governance

Key Skills:

training Internship - <p>if You Make Hearts Beat Faster, Your Own Has To Be In The Right Place. Key Skills

  • Excel
  • Philosophy
  • CRA
  • Data Collection
  • Transcribing
  • EAP
  • PowerPoint
  • Project Management
  • Microsoft Office
  • Compliance Monitoring

Apply Now   
Apply Now   
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

Thank You

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