Compliance Associate Job at B. Riley Financial
B. Riley Financial (“B. Riley”) provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley is headquartered in Los Angeles with offices across the U.S. as well as an international presence.
B. Riley Wealth Management provides comprehensive, collaborative financial solutions to individuals and families, businesses and institutions, non-profits, trusts, foundations and B. Riley’s experienced financial advisors leverage the diverse resources and expertise of its affiliated companies to help clients create a sound financial strategy based on their financial goals.
We are seeking a full-time Compliance Associate to work in our Memphis, TN, Boca Raton, FL, Dallas, TX, Arlington, VA and/or Chicago, IL office.
The ideal candidate will be a self-starter who is detail oriented and has retail or institutional broker dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training and professional growth opportunities available for motivated candidates.
Duties of this position include, but are not limited to the following:
- Support legal and compliance monitoring of complaints and litigation files.
- Prepare correspondence and reports for regulators, management and outside counsel.
- Assist with investigations and customer complaints.
- Review brokerage activity for consistency with regulatory guidelines.
- Respond to inquiries from registered representatives and supervisory personnel.
- Prepare, organize and file requisite documentation.
- Assist with daily trade review and surveillance.
- Review individual Registered Representatives’ trading activity for compliance with firm policies and procedures and industry standards of conduct.
- Perform other duties as assigned.
Education, Experience and Skills required:
- Bachelor's degree or familiarity with Finance, Business, or Economics or equivalent combination of education and experience highly preferred.
- One to three years of experience in the brokerage industry and/or previous paralegal or compliance experience.
- Excellent communication skills required.
- Proficient in MS Word, Excel, PowerPoint and Outlook.
- Ability to organize and prioritize work without supervision.
- Self-starter with willingness to learn and adapt to new and challenging tasks.
B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.
Experience
Required- 1 - 3 years: One to three years of experience in the brokerage industry and/or previous paralegal or compliance experience.
Education
Preferred- Bachelors or better in Finance or related field
Skills
Required- Microsoft Office
- Communication
Behaviors
Required- Team Player: Works well as a member of a group
Motivations
Required- Self-Starter: Inspired to perform without outside help
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