Job Summary

In this compliance role, the individual will support Compliance Officers in the day-to-day responsibilities of reviewing daily, monthly, quarterly, and annual compliance submissions required of advisors and staff.  They will also help with email reviews, case management, and marketing/advertising reviews as needed.

Location: The position will ideally be in New Orleans, LA. Remote candidates may also be considered.

Responsibilities

• Review check logs for timely submission, accurate completion, and follow up with advisor team when necessary.
• Examine monthly correspondence for timely submissions, as well as appropriate and compliant communications.
• Monitor gifts and gratuity logs.
• Track submission rates for the monthly and quarterly items of each firm.
• Assist with linking employee accounts in Orion Compliance, conduct advertising/marketing reviews, as well as email reviews

Skills & Qualifications

• 3-5 years of securities industry experience within organizations providing investment advisory services.
• 2-3 years of SEC compliance experienced perferred. 
• Strong organizational skills and the ability to meet deadlines.
• Effective communication skills, both oral and written, with the ability to interact with senior/executive management.
• Proficiency with Microsoft Office Suite.
• Ability to work independently and as part of a team in a fast-paced environment.
• High ethical standards and a commitment to maintaining compliance.