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Title

Compliance Administrator 

Category Administration  
Description

Essential Functions

This job description is an overview and not designed to cover or be a comprehensive list of activities, duties, or responsibilities that are required of this position. Activities, duties, or responsibilities may change at any time with or without notice. Crews may require employees to perform functions beyond those contained in this job description.

To perform this job successfully, an individual must be able to perform each of the following Essential Duties satisfactorily.

  • Review Reverse Churning Reports and Daily Blotters.
  • Review Trade Exception Reports detailing trades for clients who reside in a state in which their registered representative is not registered, and send necessary correspondence.
  • Assist in branch reviews.
  • Review institutional and retail accounts on a monthly basis for suitability.
  • Oversee Continuing Education: FINRA (Regulatory Element) and Insurance Agents.
  • Open qualifying securities exam windows and order study material.

 

Assist with:

  • Web Central Registration Depository (CRD) and Investment Advisor Registration Depository ([ARD): individual and organizational current deficiencies; denied and pending individual registrations.
  • Annual Registrations Renewal: reconciliation and employee payroll deduction.
  • Individual state registrations: charges, Form U4 Amendment, updates (CRD, Microsoft Dynamics CRM records, Crews Liner (2019's new Renewal Report), *representative states spreadsheet, and Form US Partials (completed to facilitate the action of dropping a state registration). *The spreadsheet keeps track of the financial ramifications, for the firm and the employee, of all state registrations. As states are added or dropped, this spreadsheet is amended.
  • FINRA Form BD Amendments, BR Creation and Amendments, U4, US, and NRF filings.
  • SEC and state investment advisory forms and notice filings, including Forms ADV.
  • Send Quarterly Compliance Questionnaire.
  • Log duplicate trade confirmations from outside accounts.
  • Log retail budget separated by year, including but not limited to advertising and sponsorships.
  • Recommend new policies, approaches, and procedures.

Competencies (Preferred or capable to quickly learn)

  • Knowledge of:
    • FINRA Gateway, CRD, and JARD.
    • EMMA.
    • Financial concepts, calculations and verbiage.
  • Proficiency in research, writing, and analysis (Microsoft Office, Excel, PowerPoint, Outlook).
  • Strong organizational skills with the ability to multi-task.
  • Excellent time management skills and the ability to prioritize work.
  • Detail oriented and concise.

Work Schedule

  • Days: Monday - Friday
  • Time: Generally, an 8:00 a.m. to 5:00 p.m. schedule.
  • Lunch: Flexible. A lunch hour is permitted, but the Project Manager may be expected to work through lunch on occasion if the work situations dictates it.
  • The supervisor may adjust the Project Manager's work hours depending on the need.
  • Notification to, and approval from, the employee's supervisor is required if the employee plans to be absent for any reason.
  • The Compliance Administrator may be required on occasion to work and respond to work e- mails outside of normal business hours.

Vacation Time

Standard Crews benefit.

Work Environment

The work environment is primarily in a climate-controlled office building or traveling in a vehicle.

Physical/Mental Requirements

The employee spends time writing, keyboarding, speaking, listening, lifting, carrying, seeing (such as close, color and peripheral vision, depth perception and adjusted focus), sitting, pulling, walking, standing, squatting, kneeling, and reaching. The employee may operate any or all of the following: telephone, smart phone, copy and fax machines, personal computer, printers, or other equipment as directed.

The employee must be able to read and understand documents, instruments, and reports; perform detailed work; and problem solve. The employee must also display proficiency in customer contact, analytical reasoning, math, language, presentation skills, and verbal and written communication. The employee must be able to effectively manage stress, multiple concurrent tasks, and constant interruptions.

 
Position Requirements

Education/Experience

  • College degree with five plus years' experience in the finance industry or management preferred; commensurate business, finance, or regulatory experience may be considered.
  • Specified securities industry licensure exams, including but not limited to the following FINRA Series Designations: SIE, 7, 66, 24, 53, and relevant insurance industry licensure as required.
 
Full-Time/Part-Time Full-Time  
Shift Days  
Position Compliance Administrator  
Close Date  
Post Internal Days 0  
Created By Darteshia Dunn  
Number of Openings 1  
Number Filled 0  
Exempt/Non-Exempt Exempt  
Hiring Manager(s) Darteshia Dunn  
Req Number ADM-22-00001  
Open Date 1/18/2022  
Location Sales and Trading Headquarters  
About the Organization Crews & Associates, Inc. has been a registered broker-dealer since 1979. The firm's trading and sales floor is located in downtown Little Rock's First Security Center. Our employment objective is to hire focused individuals with a career interest in buying and selling fixed income securities. We also want to hire focused individuals who can serve as a support team.

Industry knowledge is valuable. At Crews & Associates, we also recognize desire and motivation as important keys to a successful career in the securities industry. We have established our own internal training program, which we implement during an employee's first year in business. Our classroom environment is designed to equip new employees with the work habits, ethical considerations, and investment aptitude needed to help achieve our clients' investment goals.

 
EOE Statement Crews & Associates is an equal employment opportunity employer. All qualified applicants will receive consideration for employment without regard to race, color, religion, gender, national origin, disability status, protected veteran status or any other characteristic protected by law.  

This position is currently not accepting applications.

To search for an open position, please go to http://CrewsandAssociatesInc.appone.com



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