Supervisor BD/RIA (Series 7&24)
San Blas SecuritiesChicago, IL
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Job Description
About San Blas Securities:San Blas Securities is a rapidly growing, full-service investment bank and independent advisor network. We provide our advisors and their clients with exceptional service and innovative financial solutions. We foster a collaborative and supportive work environment where our employees can thrive and grow professionally.We are seeking a highly organized and detail-orientedCompliance Supervisorto help support our regulatory and compliance efforts. This is an opportunity to work with the Compliance team led by the Chief Compliance Officer in a highly collaborative atmosphere. The position is full-time, based in Chicago, with less than 10% travel. Adhere to FINRA Rule 3110 requires a firm to establish and maintain a system to supervise the activities of its associated people that is reasonably designed to achieve compliance with the applicable securities laws and regulations and FINRA rules.Competitive Compensation+ bonus based on experience. $80 - $100K Responsibilities include:
- Review and enforce the firms Written Supervisory Procedures and Compliance initiatives.
- Manage Firm’s Onboarding Training Program for compliance with new hires
- Schedule new hire training
- Assist in administering firm annual training and advisor attestations
- Schedule targeted training as required
- Foster a culture of compliance
- Document supervisory activities
- Review advisors purchase and sales blotter
- Review advisors communications to (and from) clients
- Review/report customer complaints to CCO
- Assist in conducting Branch Exams
- Assist in review and follow up with exception reports generated by Compliance which require action from supervisors
- Bachelor’s degree or experience equivalent
- FINRA Series 7 and FINRA Series 24 required
- 3 – 5 years relevant experience at RIA and BD or industry regulator
- Working knowledge of the Investment Advisers Act, the Investment Company Act, and related regulatory requirements; application of SEC rules
- Familiarity with RBC and Schwab back-office a plus
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