Apply on Employer Site

AGC HR Consulting & Outsourcing Services · 2 months ago

Compliance Officer & AML Analyst

Atlanta, GA, Alpharetta, GA, US

Full-time

Onsite

Mid Level

4+ years exp

AGC HR Consulting & Outsourcing Services is seeking a Compliance Officer who will support the firm in executing its regulatory and supervisory responsibilities. The role involves monitoring compliance operations, maintaining records, and assisting in internal audits and training efforts.

Human Resources Services

Responsibilities

Monitoring proposed, adopted, and amended rules and regulations (FINRA, SEC, MSRB, state regulations, etc.)

Perform FINRA Branch Office Inspections

3120/3130 and 206(4)-7 annual testing for FINRA and SEC

Manage the Firm’s continuing education program for Registered Persons

Review and Approval of customer new accounts, AML/KYC, ongoing monitoring of trading activity, and Regulation Best Interest compliance

Assist in monitoring communications through surveillance platforms (e.g., Actimize, Global Relay, Sycamore/Investedge)

Advisory Testing Reviews

Participate in compliance program testing, which includes transactional and periodic testing of supervisory controls

Review documentation of Financial Crime Enforcement Network (FinCEN) postings

Review and monitor approval requests for new personal trading accounts, personal trading, outside activities and business gifts, meals and entertainment for employees of the Firm

Support documentation of disclosures, suitability reviews, and client communications

Compile data for monthly and quarterly compliance reports

Support the Compliance Department in preparing presentations and memos

Respond to routine compliance inquiries from staff and registered representatives

Help draft internal communications regarding policy updates and regulatory changes

Qualification

FINRA Series 7FINRA Series 63/66AML regulationsFINRA Series 24Compliance platformsMicrosoft Office SuiteAnalytical skillsBilingual (English/Spanish)Organizational skillsManage projects

Required

FINRA Series 7, 63/66 required

FINRA Series 24 is required or ability to obtain within 3 months of hire

Education: Bachelor's degree in Finance, Business Administration, or related field

Experience: 4-5 years in financial services compliance or operations

Familiarity with FINRA, SEC, and AML regulations

Ability to understand complex rules and regulations and communicate them to all levels of staff, including management, within all departments and discuss them with external relationships and to develop and implement appropriate procedures

Must show the ability to manage multiple projects, make quick decisions, use prioritization skills, and concentrate on detailed information in a fast-paced work environment and meet deadlines

Strong organizational and analytical skills

Proficiency in Microsoft Office Suite and compliance platforms