Compliance Manager

BCI - Brokerage Consultants Inc.
Minneapolis, DE
Job Description
Compliance Manager role supporting financial advisor support, onboarding/registration coordination, Anti-Money Laundering (AML), Continuing Education administration, and oversight of Written Supervisory Procedures (WSPs).

Requirements

  • Serve as a key compliance resource for financial advisors
  • Oversee the books and records of advisor onboarding, transitions, terminations, and related recordkeeping
  • Maintain AML logs, testing evidence, risk assessments, and regulatory reporting documentation
  • Serve as the firm's Continuing Education (CE) Administrator
  • Serve as WSP Administrator
  • Maintain compliance calendars, task logs, and workflow tracking tools
  • Collaborate with Compliance leadership and Operations on special projects, regulatory initiatives, and process improvements

Benefits

  • PTO
  • 401K plan with company matching
  • PPO and HSA medical plans
  • vision
  • dental
  • company paid life insurance
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