OSJ Manager and Compliance Supervisor
Company Name:
Vantage Financial Group, Inc.
OSJ
manager
and Compliance Supervisor Candidate is responsible for supervision of the business of our registered representatives and ensuring suitability by following industry rules and regulations, policies and procedures of our Broker Dealer and Company. Candidate should have a solid professional and compliance background and be prepared to assume direct responsibility and oversight of OSJ operations, as well as compliance policy and procedures. Primary
Responsibilities:- Participate in pre-hire screening, licensing and orientation processes for new Registered Representatives and related personnel. - Supervise and manage members of OSJ administrative staff, including Registered Principals. - Ensure that the Company maintains
systems
to supervise the activities of each registered representative, registered principal, and other associate that is reasonably designed to achieve compliance with applicable securities laws and regulations. - Ensure that the Company maintains systems to supervise the activities of each Investment Advisor Representative (IAR) that is affiliated with the RIA of the broker dealer and /or company that are reasonably designed to achieve compliance with applicable securities laws and regulations. - Ensure that the Company's ADV and other applicable filings are completed and processed on a timely basis. - Oversee the Company's portfolio
management
software, including but not limited to ensuring that accounts are reconciled properly and access is restricted to appropriate individuals. - Ensure that all registered representatives, advisors, employees and staff within the Company are trained in compliance-related matters and are competently performing their various functions. - Conduct compliance meetings with registered representatives, registered administration, registered principals and other employees that process or handle securities related information. - Conduct audits, compliance reviews and inspections with registered representatives, advisors and satellite/branch offices according to schedules and criteria as defined by the Broker Dealer and Company. Conduct timely follow up and remediation of identified deficiencies and retain supporting documentation. - Act as the point person in, audits, and inquires from the main broker dealer or any legal or regulatory authority. - Stay informed of the constantly changing regulatory environment by participating in conference calls, meetings and training
events
with the broker dealer and other available resources. Requirements:- The OSJ Manager/Compliance Supervisor must hold FINRA Series 24, 7 and 66 (or equivalent) - FINRA Series 4, 53, 51 desired - Life, Health, Disability and Annuity Insurance license desired - Excellent organizational and communication skills - Knowledgeable and familiar with regulatory rules (FINRA, SEC) - Ability to multi-task and prioritize; work well under pressure and be deadline driven; team oriented; and detail oriented Proficiency with Microsoft Office (Word, Excel, OutLook), Pershing NetX software and Schwab PortfolioCenter software MYK62683JREstimated Salary: $20 to $28 per hour based on qualifications.
Vantage Financial Group, Inc.
OSJ
manager
and Compliance Supervisor Candidate is responsible for supervision of the business of our registered representatives and ensuring suitability by following industry rules and regulations, policies and procedures of our Broker Dealer and Company. Candidate should have a solid professional and compliance background and be prepared to assume direct responsibility and oversight of OSJ operations, as well as compliance policy and procedures. Primary
Responsibilities:- Participate in pre-hire screening, licensing and orientation processes for new Registered Representatives and related personnel. - Supervise and manage members of OSJ administrative staff, including Registered Principals. - Ensure that the Company maintains
systems
to supervise the activities of each registered representative, registered principal, and other associate that is reasonably designed to achieve compliance with applicable securities laws and regulations. - Ensure that the Company maintains systems to supervise the activities of each Investment Advisor Representative (IAR) that is affiliated with the RIA of the broker dealer and /or company that are reasonably designed to achieve compliance with applicable securities laws and regulations. - Ensure that the Company's ADV and other applicable filings are completed and processed on a timely basis. - Oversee the Company's portfolio
management
software, including but not limited to ensuring that accounts are reconciled properly and access is restricted to appropriate individuals. - Ensure that all registered representatives, advisors, employees and staff within the Company are trained in compliance-related matters and are competently performing their various functions. - Conduct compliance meetings with registered representatives, registered administration, registered principals and other employees that process or handle securities related information. - Conduct audits, compliance reviews and inspections with registered representatives, advisors and satellite/branch offices according to schedules and criteria as defined by the Broker Dealer and Company. Conduct timely follow up and remediation of identified deficiencies and retain supporting documentation. - Act as the point person in, audits, and inquires from the main broker dealer or any legal or regulatory authority. - Stay informed of the constantly changing regulatory environment by participating in conference calls, meetings and training
events
with the broker dealer and other available resources. Requirements:- The OSJ Manager/Compliance Supervisor must hold FINRA Series 24, 7 and 66 (or equivalent) - FINRA Series 4, 53, 51 desired - Life, Health, Disability and Annuity Insurance license desired - Excellent organizational and communication skills - Knowledgeable and familiar with regulatory rules (FINRA, SEC) - Ability to multi-task and prioritize; work well under pressure and be deadline driven; team oriented; and detail oriented Proficiency with Microsoft Office (Word, Excel, OutLook), Pershing NetX software and Schwab PortfolioCenter software MYK62683JREstimated Salary: $20 to $28 per hour based on qualifications.
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