Compliance Officer: Communications w/the Public

Who We Are: Axtella, LLC provides the business servicing needs to financial professionals from across the United States who choose to affiliate with either of our well-established independent investment securities broker-dealers (Sigma Financial Corporation and Parkland Securities LLC) and/or our Registered Investment Advisor (Sigma Planning Corporation).

Job Description

Seeking FINRA Series 24-licensed individual with 2+ years of experience reviewing communications related to financial professionals’ business needs within the investment securities and/or registered investment advisory industries. The Communications with the Public review team is responsible for first-line review of advertising, electronic correspondence, social media, and other forms of Communications. The Communications with Public Review Officer will work closely with members of Compliance and other departments throughout Axtella. Work requires infrequent visits to the home office in Ann Arbor, Michigan. Responsibilities:

• Conduct first-line review of public facing material such as social media, electronic correspondence, advertising, public appearances, websites, and sales literature.
• Answer questions related to FINRA, SEC, and firm policies relating to Communications.
• Utilize investigative skills and knowledge of securities industry rules and regulations to make risk-based decisions on a day-to-day basis.
• Interact with Financial Professionals to communicate compliance findings and to provide education in a professional and respectful manner.
• Collaborate interdepartmentally to identify and solve issues based on Financial Professional and Axtella needs.
• Participate in initiatives to continuously improve policies and procedures.
• Contribute to various ad hoc projects as assigned by the CCO or Manager of Compliance. Assignments may include assisting with regulatory exams and requests, participation in committees, and more.

Requirements

• Bachelor’s degree or 4 years of direct compliance-related experience.
• 2+ years’ experience in a related position.
• Licenses/Certifications: Series 7, Series 24.

Key Competencies

• Excellent organizational and time management skills to meet deadlines while managing multiple tasks.
• Strong oral and written communication skills.
• Knowledge of FINRA, SEC, and State rules and regulations. Experience with Global Relay and Red Oak Advertising Module strongly preferred.
• Knowledge of various insurance and investment products including Fixed, Indexed, and Variable Annuities, Mutual Funds, and Alternative investments as they pertain to marketing towards the public.
• Experience with various computer software including Microsoft Excel and Outlook.

We Offer

You:

• Competitive wages
• Comprehensive benefit package
• Paid time-off
• Wellness benefits
• Paid tuition/education benefit
• Retirement plan, with employer match

Physical Demands / Work Environment

• Frequently required to sit and utilize visual acuity and finger dexterity to operate equipment, including keyboard.
• Frequently required to talk and hear via telephone handset or headset.
• Requires infrequent presence at the home office location in Ann Arbor, Michigan.
• At the home office, will work within an open-cubicle environment with bright fluorescent lighting and moderate noise levels.

Note: The above is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of duties, responsibilities, or physical requirements. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions. Applicants for employment must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States and Axtella. Axtella consists of Sigma Financial Corporation, Parkland Securities LLC, and Sigma Planning Corporation. These firms, under common ownership and control, provide a unique personal experience for our independent representatives. Apply tot his job Apply To this Job