Compliance Principal

Compliance Principal:

Arkadios Capital, an Independent and Atlanta-based broker-dealer, is seeking a seasoned Compliance Principal with financial industry experience responsible for assisting in, but not limited to: the review and approval of new accounts, advertising and marketing materials, and the oversight of electronic communications. Responsibilities include familiarity with the Investment Advisor Act, Securities Act of 1933, and state-specific insurance rules and regulations. This is a ground-floor opportunity to work in a dynamic firm with experienced leadership. The role will work in a cross-functional approach supporting financial professionals along with other Arkadios departments.

Job Type: Full-time

Benefits:

• 401(k)
• Health insurance
• Paid time off

Responsibilities:

• Review and approval of accounts and transactions
• Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer
• Review emails and social media content
• Review advertising and marketing materials
• Utilize FINRA Gateway/CRD
• Research of securities rules and regulations
• Develop, review, and maintain compliance policies, procedures, and forms
• Prepare comprehensive management reports by collecting, analyzing, and summarizing information
• Prepare for and execute onsite branch audits
• Review personal trading activities of registered personnel
• Monitor trading activity, blotters, and exception reports when needed
• Review contracts and conduct third-party due diligence

Preferred skills and abilities:

• Working knowledge of FINRA CRD
• Sound understanding of securities rules and regulations
• Thorough knowledge of private placements and annuity products
• Strong communication skills
• Sound business judgment and strong decision-making ability
• Ability to respond effectively and timely to representatives and clients
• Exceptional relationship-building skills and ability to effectively work with other departments within the firm
• Ability to travel up to 10% of the time

Education & Experience Requirement:

• Minimum of five years of financial services industry experience
• Bachelor’s degree or equivalent combination of education and work experience
• Strong computer skills for managing data, report creation, developing presentations, etc.
• Series 7 and 24 required; Series 65 or 66 required within 90 days

Job Type: Full-time

Pay: $100,000.00 - $120,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Paid time off
• Parental leave
• Vision insurance

Compensation Package:

• Bonus opportunities
• Performance bonus

Work Location: In person