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Stephens · 6 hours ago

Compliance Auditor

Little Rock, AR

Full-time

Onsite

Mid Level

3+ years exp

Stephens is a company focused on compliance auditing, and they are seeking a Compliance Auditor to perform examinations on various corporate divisions and ensure adherence to internal policies and regulatory requirements. The role involves assisting in policy development, providing support and training to branch personnel, and maintaining knowledge of industry regulations.

BankingFinanceFinancial Services

Responsibilities

Perform examinations on various corporate divisions and branch offices, corporate principals and employer activities to ensure compliance with internal policies and procedures and various regulatory rules and regulations

Assist in development or revision of policies and/or procedures in coordination with affected departments, Compliance personnel and the Legal Department to increase efficiencies and program effectiveness or to maintain legal compliance

Assist in annual compliance interviews or meetings with all registered representatives and associated persons

Assist in preparing responses to broker/dealer questionnaires

Provide support to branch office managers and branch personnel regarding compliance

Assist in providing training to new employees in Branch Offices

Maintain current knowledge of investment industry activities and regulations through regular review of appropriate publications, evaluating their applicability to the company and instituting action where required

Perform other functions and tasks as may be assigned by management

Qualification

Compliance AuditingSecurities Industry EssentialsGeneral Securities RepresentativeState Law ExamInvestment Industry KnowledgePolicy DevelopmentTraining Skills