Employment Spot

Job Description

The client bank is currently in the market to hire a Senior Compliance officer to work out of Northeast, Ohio. The position is add to staff due to a larger work-load.  The bank is a reputable regionalized bank that has weathered the storm incredibly well in this tough economic time.  They've not only weathered the storm, but are looking to add market share here in the short term.  The bank is offering above average base salaries, excellent benefits, and room for upward mobility for the Senior Compliance Officer position.   Take a look below at the responsibilities for the position:

The candidate will be responsible for:
1.  Regulatory supervision of activities of all Broker Dealer, Investment Advisory and Insurance Agency associated persons in accordance with FINRA, SEC and applicable state rules and regulations
2.  Ensure that department policies and procedures are followed and in compliance with all regulatory agencies.
3.  Branch office audits.
4. Continuing education.
5.  Licensing.
6.  Approving accounts & transactions.
7.  Approval of sales literature & advertising.
8.  Customer communication.

Job Requirements

We're looking for candidates with the following qualifications:

1.  Eight or more years experience in Broker Dealer/Operations/Compliance.

2.  Candidate must have worked for a bank at some point in their career.

3.  Candidate must have FINRA NASD Series 7, and 24.

4.  Preferably the candidate will also be licensed with Series 63, 65, and Life/Annuity

5.  Candidate must possess bachelors degree, preferably in Economics, Finance or Accounting.

6.  MBA is preferred.