Job Description

The Compliance Officer of The Strategic Financial Alliance, Inc. (SFA)  has a key role within the organization with responsibility for developing, implementing and maintaining a comprehensive compliance program.  This position will also serve as the principal advisor on all compliance-related matters within the broker-dealer.

Primary Responsibilities

• Oversee the SFA broker-dealer and investment adviser compliance program functions including implementation of written supervisory procedures, transaction monitoring, AML compliance, training, annual testing, and maintenance of Forms BD, ADV, and CRS.
• Develop, implement, and maintain the firm's compliance program, ensuring adherence to all applicable federal and state securities laws and regulations.
• Establish and maintain standards and procedures that are effective in identifying, preventing, detecting and remediating regulatory issues.
• Stay abreast of regulatory changes and industry trends, proactively updating the compliance program as needed.
• Monitor compliance issues and changes in regulations, reporting their impact on the organization to stakeholders.
• Conduct regular compliance reviews and audits to identify and mitigate potential risks.
• Coordinate with Shared Services teams  that  are responsible for registrations, inspections, reviews, and examinations; communications and advertising review; surveillance and transaction monitoring and reporting; and assure the shared services are conducted in conformity with SFA’s policies and procedures;
• Provide compliance training to employees and advisors on relevant regulations and industry best practices.
• Serve as the primary contact with regulatory agencies, manage regulatory inquiries, and exams.
• Monitor complaints, reporting, and resolutions; and manage arbitration preparation and responses.
• Manage and oversee the firm's compliance record keeping requirements.
• Provide guidance and advice to firm personnel  and advisors on compliance-related matters.
• Oversee and manage any compliance-related vendors or consultants.
• Help develop, nurture, and maintain a strong compliance culture within the organization.
• Manage and/or participate in projects as they may arise.

Primary Qualifications

• Bachelor's degree
• Minimum of 5 years of experience in a senior compliance role within a broker-dealer.
• Strong knowledge of FINRA and SEC rules and regulations, as well as state securities regulations.
• Knowledge of investment products, including alternative investments.
• Experience in developing and implementing compliance programs.
• Ability to review contracts and selling agreements.
• Excellent communication, interpersonal, and presentation skills.
• Strong analytical and problem-solving abilities.
• Strong customer service mindset, with advisors and fellow employees as customers).
• Ability to work independently and as part of a team.
• Ability to multi-task.
• Proficient in Word, Excel, and PowerPoint.

About SFA Partners: SFA Partners provides shared services to a family of companies focused exclusively on empowering independent financial advisors. SFA Partners includes The Strategic Financial Alliance (SFA), member FINRA/SIPC, a broker-dealer and investment adviser; Strategic Blueprint, a registered investment adviser; and SFA Insurance Services. Our wide breadth of services enables us to support a variety of advisor business models.

Parent company, SFA Holdings, Inc. is owned by advisors, employees, and individual investors.

Job Tags

Similar Jobs