Compliance Principal

Arkadios Capital, an Independent and Atlanta-based broker-dealer, is seeking a seasoned Compliance Principal with financial industry experience responsible for assisting in, but not limited to: the review and approval of new accounts, advertising and marketing materials, and the oversight of electronic communications.

Responsibilities include familiarity with the Investment Advisor Act, Securities Act of 1933, and state-specific insurance rules and regulations. This is a ground-floor opportunity to work in a dynamic firm with experienced leadership. The role will work in a cross-functional approach supporting financial professionals along with other Arkadios departments.

Job Type: Full-time

Benefits

401(k)
Health insurance
Paid time off

Responsibilities

Review and approval of accounts and transactions
Perform required compliance functions in coordination with and under the direction of the firm’s Chief Compliance Officer
Review emails and social media content
Review advertising and marketing materials
Utilize FINRA Gateway/CRD
Research of securities rules and regulations
Develop, review, and maintain compliance policies, procedures, and forms
Prepare comprehensive management reports by collecting, analyzing, and summarizing information
Prepare for and execute onsite branch audits
Review personal trading activities of registered personnel
Monitor trading activity, blotters, and exception reports when needed
Review contracts and conduct third-party due diligence

Preferred skills and abilities

Working knowledge of FINRA CRD
Sound understanding of securities rules and regulations
Thorough knowledge of private placements and annuity products
Strong communication skills
Sound business judgment and strong decision-making ability
Ability to respond effectively and timely to representatives and clients
Exceptional relationship-building skills and ability to effectively work with other departments within the firm
Ability to travel up to 10% of the time

Education & Experience Requirement

Minimum of five years of financial services industry experience
Bachelor’s degree or equivalent combination of education and work experience
Strong computer skills for managing data, report creation, developing presentations, etc.
Series 7 and 24 required; Series 65 or 66 required within 90 days

Job Type: Full-time

Pay: $100,000.00 - $120,000.00 per year

Benefits

401(k)
401(k) matching
Dental insurance
Flexible spending account
Health insurance
Health savings account
Paid time off
Parental leave
Vision insurance

Compensation Package

Bonus opportunities
Performance bonus

Work Location: In person