Junior Compliance Officer

Junior Compliance Officer:


Primary Functions:Registering individuals with the NASDFiling Form U5 for terminated registered representativesPreparing and filing Form ADV and Form BD amendmentsSubmitting filings of sales literature to NASD Advertising RegulationSupport the supervisory and compliance functions of the teamRequest and review outside brokerage account statements for all representatives in region and follow-up as necessaryAssisting the Chief Compliance Officer with developing and implementing training programs related to regulatory compliance issues for all personnelAssisting the Chief Compliance Officer with developing and maintaining sales supervisory structure, auditing programs, testing, surveillance programsOther duties as assigned.
Skills:Must possess securities industry product knowledge,Strong analytical abilities,Excellent communication and drafting skills,An obsessive regard for detail and the ability to identify and analyze regulatory and compliance issues in a fast paced and rapidly changing business environmentSeries 7, 63, and 24 or the ability to obtain within 6 months.
Benefits:

Anderson & Strudwick offers an excellent benefits package including medical, dental, disability, life, a 401(k) savings plan and much more.



Anderson & Strudwick, founded in 1948, is a full service brokerage firm that combines high-speed electronic trading and execution systems, a highly respected research department and experienced investment counselors with sound investment strategies and a full range of investment vehicles to help our clients reach their dreams and achieve financial success.
REQUIREMENTS


Experience: 2-5 years experience working in the securities industry with specific experience:Advising on compliance issues under the securities laws and regulations especially with regards to Securities Exchange Act of 1934Advising on general corporate matters, contracts and/or advising with regard to the Investment Advisers Act of 1940Requires a college degree in a business related field (prefered)

Anderson & Strudwick is committed to diversity and is an Equal Employment Opportunity employer!

If you are looking for a challenging career with great income potential send a cover letter and resume to: Career Opportunities Anderson & Strudwick 707 E. Main Street, 20th Floor Richmond, VA 23219 or click on Apply Instanly by clicking on the above Orange Tabs!

Visit our web-site at: www.andersonstrudwick.com to learn more about us!