Compliance Associate

Compliance Associate

Requisition Number 11-0112
Title Compliance Associate
Company Equity Services, Incorporated
City Montpelier
State VT
Travel Required No

Description


 
 
Summary
 

Equity Services, Inc. (ESI), Member FINRA/SIPC, is a broker/dealer and registered investment advisor offering an extensive line of financial products and services including mutual funds, unit investment trusts, stock and bond trading, public limited partnerships, real estate investment trusts, variable annuities and asset management services.  We are seeking a qualified individual to ensure ESI's main office, offices of supervisory jurisdiction, branch offices, employees and registered representatives, are in compliance with the rules set forth by the SEC, FINRA, MSRB, state Blue Sky laws and ESI internal policies and procedures
 
 
Key Responsibilities
 

The individual in this position will be responsible for:
 
* Conducting routine on-site inspections of ESI field office locations. 
* Presenting annual compliance meetings  and other compliance presentations for field and home office personnel. 
* Reviewing field and home office sales incentive  programs for compliance with regulatory requirements.  
* Reviewing and tracking receipt of branch office audits conducted by OSJ supervisors. 
* Assisting in conducting tests of internal procedures in accordance with NASD Rule 3012.
* Assist in responding to regulatory inquiries and customer complaints.
* Provide general compliance support to all registered representatives and to other business units within the Firm.
 
Requirements

* The successful candidate must possess excellent communication and interpersonal skills and be willing to travel up to 33% of the time.
* Compliance experience and knowledge of FINRA, SEC and individual state securities rules preferred.
* Series 7 required; Series 24 registration required or ability to obtain within 90 days of employment.
* A bachelor's degree or equivalent in years of experience and knowledge is preferred.


Securities and investment advisory services are offered solely by Equity Services, Inc., Member FINRA/SIPC,One National Life Drive,Montpelier,Vermont056.


TC64071(0811)