Compliance Auditor

Stephens Inc.Little Rock, AR

Automate your job search with Sonara.

Submit 10x as many applications with less effort than one manual application.¹

Reclaim your time by letting our AI handle the grunt work of job searching.

We continuously scan millions of openings to find your top matches.

Job Description

ESSENTIAL DUTIES AND 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.

EDUCATION AND/OR EXPERIENCE

Bachelor's degree in a related field.
3+ years of related experience and/or training preferred
Experience in compliance auditing with a securities and/or investment company desired.
Equivalent combination of education and experience.

CERTIFICATIONS, LICENSES, AND REGISTRATIONS

(may be acquired within six months after employment)

Submit 10x as many applications with less effort than one manual application.