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EMPLOYMENT TUESDAY at BrokeAndBroker.com
Written: January 28, 2013

EMPLOYMENT TUESDAY AT BROKEANDBROKER.COM

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Jan 17Chief Compliance OfficerT Capital FundingMaitland, FL

This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited partner interests). more

Jan 25Advisor Services Relationship Manager - Series 6 FINRA LicenseVolt Workforce SolutionsPhoenix, AZ

Advisor Services Relationship Manager - Financial Services Industry Series 6 Securities (FINRA) License Required Our Client, a Financial Services firm in Phoenix, AZ, is seeking... more

Jan 22Relationship Banker - El Toro RD, Lake Forest, CA (FINRA Licenses Preferred - 6, 63, CA Life & HealtChaseLake Forest, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 22Relationship Banker - Barranca and Von Karman - Irvine, CA (FINRALicenses Preferred - 6, 63, CA LifChaseIrvine, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 22Relationship Banker - Irvine Sand Canyon - Irvine, CA (FINRA Licenses Preferred - 6, 63, CA Life & HChaseIrvine, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 22Compliance Examiner - Member RegulationFinraFrancisco, IN

Job Summary : Examiners review or investigate risk areas of broker-dealers, and allegations of wrong-doing or other non-compliant conduct to protect investors and ensure the... more

Jan 20Sr. Broker Dealer Customer Service Rep (FINRA Series 6 or 7 license required)MetLifeNew Jersey

Job Summary: Senior level job which provides assistance to sales representatives, other sales personnel and external clients by answering toll free 800 phones lines, servicing a... more

Jan 16Relationship Banker - La Paz and Cabot - Laguna Hills, CA (FINRA Licenses Preferred - 6, 63, CA LifeChaseLaguna Hills, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 16Relationship Banker - Campus Dr, Irvine-CA (FINRA Licenses Preferred - 6, 63, CA Life & Health)ChaseIrvine, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 11Relationship Banker - Corona Del Mar: FINRALicenses Required 6, 63, Life & HealthChaseCorona Del Mar, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 11Relationship Banker - Irvine & 17th,: FINRALicenses Required - 6, 63, Life & HealthChaseNewport Beach, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 07Compliance Examiner - Membership Application ProgramFinraNew York, NY

Job Summary: MAP Examiners review or investigate, in the context of new and continuing membership applications, risk areas of broker-dealers and allegations of wrong-doing or... more

Jan 05Relationship Banker - PCH & Crenshaw,: Licenses Preferred - FINRA 6, 63, Life & HealthChaseTorrance, CA

Play a vital role in the customer banking experience at Chase! As part of JPMorgan Chase, a leading global financial services firm, Chase has over 5,600 locations where our... more

Jan 28Stockbroker TraineeNew HorizonsNew York, NY

We are looking for hard working, driven individuals who have a passion for Sales and Finance. This is an outstanding opportunity to work in the heart of the Financial District in... more

Jan 23StockbrokerTrainee/Financial Services RepresentativeJd Nicholas & AssociatesSyosset, NY

JD Nicholas & Associates Established 1998 Member of NASD/SIPC Rapidly growing prestigious Wall Street Firm seeking established brokers, broker trainees, and sales assistants. more

FEATURED JOB:

Chief Compliance Officer

T Capital Funding (Maitland, Florida)

Posted:
January 17, 2013
Address:
Maitland, FL 32751
Type:
Full-time
Description:
This position is for Registered Principal and Chief Compliance Officer of a small Broker-Dealer firm, exclusively involved in Real Estate Securities (limited partner interests). The Broker-Dealer firm is a wholly owned subsidiary of a well -established Boston -based commercial real estate investment company, in business over 35 years, which acts as Sponsor and General Partner of real estate projects in the United States, as well as Canada and South America, Europe and Asia. 

The firm is licensed as a Broker-Dealer, and has been in business since 2004. The firms head office will be located outside Orlando, in Central Florida, with a Branch Office in Boston, Massachusetts, where experienced Registered Representatives and other firm Principals are located. The CCO will be based in the Central Florida office, and will travel at least once each month to Boston for supervision and compliance purposes.

The CCOs main responsibility is to ensure the firm's compliance with all FINRA and SEC rules and regulations by providing necessary advice, training and risk assessment pertaining to all of the firms Broker/Dealer activities. The position is responsible for implementing all required policies and procedures regarding all business activities. Additional responsibilities will include approval of all accredited investors, due diligence for offerings and creation of offering materials. This position will work closely with the Registered Principal and interact with all associated persons at the Firm.

The ideal candidate should have experience with Real Estate Securities and
Domestic and International Institutional Accounts.

Extensive knowledge of securities rules and regulations covering operating procedures and customer protection is also required, as well as working knowledge of securities registration and membership requirements for FINRA member firms.

The CCO must possess experience with the interaction between FINRA and member Broker-Dealer and their associated responsibilities.

Responsibilities:

-Review, maintain, and revise as necessary all relevant Policies and Procedures based upon regulatory requirements, industry practices and established internal controls.

-Perform all daily, weekly, monthly and quarterly compliance reviews (including transaction reviews), and supervision.

-Develop and implement necessary risk assessment reviews including internal audits and automated surveillance/monitoring programs to review the firm's activities to remain in compliance with all aspects of industry standards (i.e. from sales practices, prime brokerage to trading activity).

-Implement and maintain all mandated Anti-Money Laundering programs covering the Broker/Dealer activities. 
-Approve all accredited investors, due diligence for offerings and creation of offering materials.
-Provide advice and training to firms management and employees regarding applicable securities rules, regulations and firm policies.

-Demonstrate excellent communication skills, both oral and written. Should have the ability and experience to draft clear and professional correspondence, policies and procedures and other documents of both legal and business nature. Must be able to correspond with all regulators and auditors.

-Work as liaison to firms management and legal counsel to ensure appropriate support if needed for any and all litigation, arbitration, reparation proceedings and all other regulatory, criminal and civil matters revolving around the firm's Broker/Dealer activities.

-Demonstrate ability to effectively analyze situations, absorb large amounts of information and apply past experience and judgment to resolve issues in a timely manner. 

-Review documentation and provide Compliance approval of all new accounts regarding Know Your Customer and the firms Customer Identification Procedures. 

-Work in the preparation of offering materials and other documentation necessary to present to investors and insure that all documents, correspondence and marketing materials for the Broker-Dealer are FINRA compliant.
Requirements:

Applicable Licensing in order to be appointed a Registered Principal and Chief Compliance Officer
A law degree and membership in the Florida Bar is preferable.
Other:

As a small, established, and well-organized Broker-Dealer, the expectation is that this position would require approximately 30 hours per week on average; of course, this depends on transaction volume. However, in any case, office hours should be planned for each week day. The firm offers benefits such as health, dental and vision insurance; company 401K; company paid short and long term disability insurance, as well as company paid term life insurance.
Apply with

 
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