Conduct surveillance and monitoring of trading activities in client accounts for compliance with firm and industry requirements.
Review and approve new accounts with the firm.
Review email and correspondence; ensuring compliance with all internal procedures and applicable industry regulations.
Review advertising and marketing material; ensuring compliance with all internal procedures and applicable industry regulations.
Review, update and maintain the firm’s Code of Ethics and certification process and conduct surveillance reviews of advisors trading activities in their personal accounts.
Review, update and maintain the firm’s Gifts and Entertainment policy and related certification process.
Assist with licensing and registration functions and related WebCRD and/or IARD submissions.
Assist with the maintenance of Form ADV and other regulatory reports and documents as needed.
Identify and recommend necessary changes to business unit procedures to address compliance gaps or improve adherence to regulatory and firm requirements
Assist in document gathering and provide support during periodic regulatory exams, annual reviews and internal audits
Assist in the development and delivery of the annual compliance meeting and employee training initiatives
Responsible for compliance with laws and regulations that apply to this position including Univest’s Code of Conduct
Perform other duties and projects as assigned.
2-5 years of compliance experience with a registered investment advisor and a broker/dealer. SEC registered investment advisor experience preferred.
Bachelor degree or equivalent combination of education and significant relevant work experience.
Series 7 and 65 or 66 and Series 24 required.
Familiarity with Federal Securities Laws including the Investment Advisors Act, Securities Exchange Act and applicable Investment Advisory rules and regulations.
Familiarity with FINRA rules and the application thereof.
Experience supervising Registered Representative / Investment Advisor activities preferred.
Experience reviewing advertising and marketing materials for compliance with FINRA and SEC requirements preferred.
Ability to think critically, solve problems, make decisions and build trust across the organization.
Possess excellent organizational skills with the flexibility to readily adapt to change.
Ability to maintain professionalism at all times and use discretion with confidential information.
Results-oriented approach to work
Strong communication and interpersonal skills.
Experience with Microsoft Office suite and web based applications.