Compliance Officer- Control Room
B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.
We are seeking a full-time Compliance Officerwith a minimum 5 to 8 years of industry experience to work partially remote or in our Arlington, Chicago or New York office. The salary range for this position is $95,000 to $110,000. Competitive salary and benefits package offered commensurate with experience.
The successful candidate will prepare written supervisory procedures; undertake surveillance;; interact with regulators; review, investigate and resolve customer complaints; respond to questions from staff members and supervisory personnel.
Duties of this position include, but are not limited to the following:
• Ensure departmental management and personnel are kept apprised of current rules and regulations to ensure compliant and ethical business conduct.
• Possess and employ knowledge of current regulatory environments to ensure the Firm is taking every measure to stay in compliance with all regulatory rules.
• Maintain and update Firm's Restricted and Watch List.
• Clear research.
• Assist with daily trade review and surveillance.
• Review and preclear employee personal trade requests.
• Act as liaison between the firm and various regulators (State, Federal and SRO).
• Compile data and information to formulate a comprehensive response to regulatory inquiries
• Conduct testing of effectiveness of supervisory personnel.
• Ability to conduct office inspections and file a report of all findings. Light travel may be required.
• Perform other duties as assigned.
Education, Experience and Skills required:
• Bachelor's degree in Finance, Business, or Economics.
• Five to eight years of experience in the brokerage industry and previous Compliance experience. Must have a knowledge, understanding and experience with FINRA and SEC regulations.
• 2 or more years Research Report clearance experience
• Security Industry Essentials (SIE), Series 7 and Series 66 license required.
• FINRA Series 24 license (within 6 months of hire).
• 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.
• Ability to research and analyze different types of data.
• Must have the ability to make recommendation to effectively resolve problems or issues by using judgment that is in consistent with standards, practices, policies, procedures, and industry regulation or law.
B. Riley Securities, 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.
Apply Now
Apply Now
We are seeking a full-time Compliance Officerwith a minimum 5 to 8 years of industry experience to work partially remote or in our Arlington, Chicago or New York office. The salary range for this position is $95,000 to $110,000. Competitive salary and benefits package offered commensurate with experience.
The successful candidate will prepare written supervisory procedures; undertake surveillance;; interact with regulators; review, investigate and resolve customer complaints; respond to questions from staff members and supervisory personnel.
Duties of this position include, but are not limited to the following:
• Ensure departmental management and personnel are kept apprised of current rules and regulations to ensure compliant and ethical business conduct.
• Possess and employ knowledge of current regulatory environments to ensure the Firm is taking every measure to stay in compliance with all regulatory rules.
• Maintain and update Firm's Restricted and Watch List.
• Clear research.
• Assist with daily trade review and surveillance.
• Review and preclear employee personal trade requests.
• Act as liaison between the firm and various regulators (State, Federal and SRO).
• Compile data and information to formulate a comprehensive response to regulatory inquiries
• Conduct testing of effectiveness of supervisory personnel.
• Ability to conduct office inspections and file a report of all findings. Light travel may be required.
• Perform other duties as assigned.
Education, Experience and Skills required:
• Bachelor's degree in Finance, Business, or Economics.
• Five to eight years of experience in the brokerage industry and previous Compliance experience. Must have a knowledge, understanding and experience with FINRA and SEC regulations.
• 2 or more years Research Report clearance experience
• Security Industry Essentials (SIE), Series 7 and Series 66 license required.
• FINRA Series 24 license (within 6 months of hire).
• 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.
• Ability to research and analyze different types of data.
• Must have the ability to make recommendation to effectively resolve problems or issues by using judgment that is in consistent with standards, practices, policies, procedures, and industry regulation or law.
B. Riley Securities, 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.
Apply Now
Apply Now