Oak Ridge Financial is a well-established financial services firm offering a full complement of brokerage, financial advisory and investment banking services to individuals and corporations through two business lines. First, the Private Client Services Group is a full-service financial advisory and brokerage unit serving more than 3,000 clients in 46 states. Services include securities trading, investment management, estate planning, wealth management and insurance. Second, the Investment Banking Group provides advice on capital raising, mergers and acquisitions and other services to emerging growth companies and non-profit organizations throughout the Midwest.
About the Position
Report to the Head of the Private Client Group. Serve as an integral member of the Private Client Group by providing material support to the compliance and supervision efforts of the firm to ensure our financial representatives and the firm are in compliance with applicable rules, regulations, policies and procedures.
Principal Responsibilities
· Ability to review and approve forms for new accounts and other related service forms and transactions
· Assist with due diligence process for new products and vendors
· Research applicable laws and regulations, analyze their effects on business practices, develop and implement procedures to address relevant changes
· Investigate highly complex issues, research and track related information, and make recommendations senior management regarding potential solutions
· Review and approve sales literature and correspondence for compliance with established communication practices
· Train employees on compliance topics and best practices
· Provide support for ad-hoc projects and firm initiatives as needed
Requirements
· FINRA Series 7, 66, 9/10 or 24 registrations or able to obtain in 90 days, S4 and S53 preferred
· Minnesota Insurance License
· 3+ years of prior financial services compliance experience
· Excellent written and verbal communication skills
· Firm understanding of the products and services offered by our broker dealer and clearing firm, as well as supervisory responsibilities
· Demonstrated quantitative, qualitative, analytical and problem solving skills
Job Type: Full-time
Pay: $70,000.00 - $115,000.00 per year
Benefits:
- 401(k)
- 401(k) matching
- Dental insurance
- Flexible schedule
- Flexible spending account
- Health insurance
- Health savings account
- Life insurance
- Paid time off
- Vision insurance
Weekly schedule:
Work setting:
Experience:
- Registered Rep supervision: 1 year (Required)
Work Location: In person