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Assistant Compliance Officer
JRW Investments - Pasadena, CA

We are a FINRA member, Broker Dealer firm currently looking for an Assistant Compliance Officer to join our team in Pasadena. As our new Assistant Compliance Officer, you will assist the Chief Compliance Officer in the development, implementation, and administration of all aspects of the compliance program of the firm


What you need for this position:

  • Bachelor's degree
  • 3-5 years experience in the securities/financial industry or related field.
  • Comfortable reading and understanding legal documents and regulations.
  • Any combination of training and experience that exhibits the knowledge, skills and abilities necessary to perform the duties of this position will be considered.


What you'll be doing:

  • Monitoring, reviewing, and enforcing the policies and procedures of the firm and assisting with the supervision of operations to ensure compliance with regulatory requirements
  • Assist CCO by spearheading the setup, development, and approval process for a CA state RIA and additional FINRA Broker Dealer firm NMA application, both in process.
  • Assist with the development and updating of the firm’s policies and procedures.
  • Conduct periodic monitoring procedures to detect weaknesses in the firm's compliance program.
  • Provide assistance during firm audits and regulatory examinations. Assist with the preparation and/or review the responses to compliance audits or examination reports.
  • Provide guidance to sales representatives and employees on compliance questions.
  • Provide reports on a regular basis, and keep the Chief Compliance Officer informed of the progress of compliance efforts.
  • Assist with the continued development of an effective compliance training program, including appropriate introductory training for new employees and ongoing training for all employees and managers.


What's in it for you:

  • Competitive compensation
  • Paid vacation, holidays and sick time
  • 401k
  • Career growth
Written By: Joshua Ungerecht


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