Associate Securities Compliance Specialist

At COUNTRY Financial, our Associate Securities Compliance Specialist participates in the sales supervision of financial reps and their securities sales activities and establishes and/or maintains securities registrations, including but not limited to, new registrations, amendments, and terminations via COUNTRY Capital Management Company (CCMC) systems and applications. This position also supports compliance, audit, and training programs to satisfy SEC, FINRA, MSRB, and federal and state securities laws, rules and regulations and participates in projects that may involve reviewing and updating COUNTRY Capital procedures and other internal compliance documents.

Responsibilities:

  • Processes, authorizes and files all FINRA filings (e.g. Form U-4, Form U-5, 4530 filing) and associated documentation.
  • Monitors, assists, and communicates requirements for obtaining and maintaining sales authorization for all Investment Solutions Representatives.
  • Works with financial reps to resolve audit deficiencies in a timely manner and administer disciplinary action as required by CCMC procedures and guidelines.
  • Generates routine reporting from COUNTRY Capital systems, COUNTRY systems, and other data applications as needed to support supervision of CCMC registered reps. Works with financial reps to resolve any findings in a timely manner.
  • Records data into the broker/dealers databases and systems in order to track the compliance and registration requirements for CCMC and its registered reps.
  • Recommends and contributes to the development of departmental processes and other procedures to assure overall compliance with securities registration, suitability, and compliance requirements. Includes data received from internal audits, e-mail reviews, and various CCMC reports.
  • Performs other related work as required or requested.

Requirements:

  • Education equivalent to graduation from college, with a degree in business, criminal justice, or related field, or the equivalent in related work experience.
  • One or more years of experience working within one or more of the following areas within an insurance or investment related industry (or the equivalent) is preferred: compliance issues, licensing requirements, complaint management, regulatory environment, or claims handling practices.
  • Possesses the following FINRA registrations or their equivalents within 60 days of hire:
  • Series 6: Investment Company/Variable Contracts Limited Representative
  • Possesses the following FINRA registration or their equivalents with 90 days of hire:
  • Series 26: Investment Company/Variable Contracts Limited Principal
  • Possesses the following FINRA registration or their equivalents is preferred:
  • Series 63: Uniform State Securities Registration
  • Series 51: Municipal Securities Limited Principal
  • General knowledge and understanding of insurances principles and/or securities laws, rules, and regulations.
  • General knowledge of broker/dealer operations and administration is preferred.
  • Excellent written and oral communication skills.
  • Possesses the ability to work with diverse assignments.
  • Requires the ability to maintain the confidentiality of records and information.
  • Possesses working knowledge of Microsoft Office Word, Excel, PowerPoint and Access.
  • Excellent critical thinking, organizational, and evaluative skills.
  • Possesses analytical ability with a strong proactive approach, attention to detail, and problem-solving skills in situations where outcomes may be ambiguous.

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