EMPLOYMENT TUESDAY at BrokeAndBroker.com

May 3, 2016

Stockbroker, Compliance, Legal, and Regulatory Jobs

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FEATURED LISTING for May 3, 2016,
courtesy of Kevin Warmack, E.J.D.

Bernardi Securities, Inc. /Bernardi Asset Management 
Location: Chicago, IL

Firm description: Bernardi Securities, Inc. (BSI) is a broker-dealer, specializing in active municipal bond portfolio management for private clients, public finance services, and fixed income capital market services. Bernardi Asset Management, LLC (BAM) is a fee only, SEC registered, investment advisory arm of Bernardi Securities, Inc.  It is a wholly-owned subsidiary of BSI. 

The Firm's expertise is within the municipal bond market.  BSI is headquartered in Chicago, IL with two additional satellite offices within the state. The Firm's client base includes banks, corporations, insurance companies, charitable organizations, endowments, advisors, and high net worth individuals.

Position summary:  This position will act as Chief Compliance Officer for Bernardi Securities, Inc. & Bernardi Asset Management

Primary Responsibilities: The role will involve the following activities:
  • Provide administrative oversight of all compliance issues
  • Remain current on all FINRA &MSRB regulatory issues
  • Report to management on pending compliance issues 
  • Ensure all compliance policy & procedures are followed 
  • Maintain corporate policy documents 
  • Serve as AMLCO
  • Coordinate FINRA license registrations & renewals
  • File quarterly G-37 with MSRB
  • Coordinate continuing education calendar for employees 
  • Coordinate firm continuing education requirement
  • Coordinate regulatory examinations & inquiries - act as point person during regulatory exams
  • Manage advertising and correspondence file
  • Coordinate suitability tests
  • Ensure firm remains compliant in all departments
  • Minimum 3-5 years of compliance experience with broker dealer or RIA 
  • Series 24 or willingness to complete
  • Ability to analyze industry regulations; adapt & develop policy & procedures to meet compliance requirements
  • Working knowledge of back office systems, books and record retention requirements for investment advisors and broker dealers
  • Organized; detail oriented; proactive solutions-oriented thinker
  • Strong communication skills 
  • Collaborative team member
Please send resume to jobs@bernardisecurities.com

Bernardi Securities, Inc. & Bernardi Asset Management LLC are equal opportunity employers.

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