Compliance Examiner

SII Investments, Inc. currently has an opening for a Compliance Examiner located in Appleton, WI. SII is a full service Broker/Dealer serving select investment professionals nationwide. Executing sound business decisions is top priority at SII Investments, Inc. We take great pride in the “Midwestern” culture of our organization. Strong business ethics, great attention to detail, and a friendly, open door policy are core pieces of SII’s workplace. We are comprised of a team of professionals whose knowledge, skills, insight and ingenuity make them among the top talent in the industry.

Please visit our website, www.siionline.com, for additional information about our company.

SUMMARY/BASIC PURPOSE:
To assist the Director of Compliance in ensuring the Broker/Dealer is in compliance with applicable company policies and State, NASD, and SEC regulations. This position is responsible for the entire audit process for SII Investments, Inc. This includes the annual audit planning and scheduling, conducting audits of OSJ and Branch Offices, writing up and following up on audit findings, and coordination with National Planning Holdings Compliance. This position will include extensive overnight travel throughout the year.

KEY RESPONSIBILITIES

· Perform OSJ and Branch Office examinations, including:
o Planning and scheduling annual audits;
o Conducting preliminary exam research;
o Coordinating with various departments internally to gather data;
o Conducting examinations of OSJ and branch offices within prescribed audit plan time parameters;
o Communicating results from OSJ and branch office examinations by preparing written correspondence;
o Ensuring follow up on relevant issues and or concerns as deemed necessary, including resulting action and ensuring proper corrective action.
· Evaluate existing compliance systems with respect to current regulatory requirements;
· Educate and train OSJ and branch office personnel with understanding and implementing compliance systems and practices;
· Coordination with National Planning Holdings Compliance on audit related matters and processes;
· Meet and correspond with OSJ and Branch Offices to investigate compliance with Company policies and procedures, as well as NASD/SEC rules and regulations;
· Provide a timely response to general questions from OSJ and Branch Offices;
· Coordinate travel arrangements. Extensive overnight travel required;
· Perform other duties as assigned by the Chief Compliance Officer.
REQUIREMENTS
Work Experience: Prior examinations, supervisory or compliance experience and/or financial services industry experience required. Must possess a good understanding of NASD and SEC regulations.

Education/Registrations: NASD Series 7 and 24 licenses required initially, with other registrations strongly preferred (e.g. series 65/66, series 4, series 53, etc.). Additional registrations may be required based upon the needs of the position/firm. Bachelor’s degree required.

COMPETENCIES:
· Strong analytical skills
· Exceptional organizational skills and the ability to handle multiple tasks and priorities simultaneously
· Excellent oral and written communication skills
· Ability to effectively resolve conflict
· Strong attention to detail
· Ability to work well with others, both in the home office and with outside representatives and OSJ offices
· Ability to work effectively under minimal supervision
· Availability for extensive overnight travel required