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Chapin Davis, Inc. · 1 week ago
Compliance and Operations Analyst
Baltimore, MD
Full-time
Onsite
Mid Level
1+ years exp
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BankingFinancial Services
Hiring Manager
Robert Kaehler, MBA
Insider Connection @Chapin Davis, Inc.
Responsibilities
Assisting the CCO with the administration of all aspects of the Firm’s compliance program, including management of the compliance calendar and oversight of recordkeeping requirements
Performing daily email monitoring to identify compliance issues.
Performing daily, weekly, monthly, quarterly, and annual compliance reviews including trade surveillance process.
Supporting CCO to meet internal and external reporting requirements.
Assisting in the day-to-day review of Firm’s incoming and outgoing correspondence.
Assisting in the review of outside business activity, gifts and entertainment, political contribution, outside brokerage account and private securities transaction requests.
Assisting in gathering information & data in response to regulatory and other internal and external audits, exams, inquiries, or assessments as needed.
Review client accounts and transactions daily in support of the Firm’s AML policies and procedures.
Completing FinCEN 314(a) reviews.
Keeping current with federal and state laws and regulations, assisting with updating policies and procedures as requested
Assisting with oversight, testing & remediation in accordance with FINRA Rule 3120 and SEC Rule 206(4)-7.
Assisting the CCO with Firm element training and ad hoc employees training regarding changes in securities rules, regulations, and firm policies.
Conduct office inspections of non-branch office locations.
Additional duties and assignments as needed by the Firm and regulatory requirements.
Open new accounts for Registered Representatives ("RRs") and Investment Advisory Representatives ("IARs")
Complete and send forms to clients for account maintenance and service requests via DocuSign, secure email, or mail/FedEx paper versions (Examples: IRA Distribution forms, ACH forms, IRA Change of Beneficiary forms, Letter of Authorization, Change of Address, etc.)
Submit service requests on behalf of clients and/or RRs (Examples: ACHs, IRA Distributions, Change of Name/Address, Add POA and Associated Person Record, Journals, etc.). Back-up approver for Service Requests. Ensure documentation is on file, complete, and verify client signature.
Back-up to monitor Action Items as needed for RRs whose assistant is out.
Additional duties and assignments as needed by the Firm and regulatory requirements.
Qualification
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Required
BA or BS degree
1-3 years of previous investment advisory, securities, financial or regulatory experience
Series 7 and 24 required or must obtain within 90 days
General knowledge of USA PATRIOT Act, Bank Secrecy Act
Working knowledge of FINRA Gateway and SEC regulatory framework
Excellent analytic, presentation, evaluation, and critical thinking skills
Proficient with Microsoft Office Suite
Preferred
Series 65 or 66 preferred, but not required
Experience with SmartStation, Envestnet, DocuWare, Box, Quest CE, BSA E Filing system, and NRS Comply all a plus, but not required
Benefits
Medical
Dental
Vision plans
Employee Assistance Program
401(k) plan with employer match
Stock options upon one year of service
Ten NYSE holidays per year
Company
Chapin Davis, Inc.
Chapin Davis is a financial services company specializing in retail brokerage and insurance services.
51-200 employees
Funding
Current Stage
Growth StageLeadership Team
Robert Kaehler, MBA
Chief Compliance Officer
Company data provided by crunchbase
