Lucia Capital Group is a San Diego, California-based financial services firm with an affiliated broker/dealer, Lucia Securities, LLC and Registered Investment Advisor. We’re looking for a qualified Associate Compliance Officer who will assist and support the Chief Compliance Officer in various compliance activities of the broker/ dealer and RIA. The ideal candidate will fulfill the qualifications mentioned below, and may also be interested in potentially growing within the company as the compliance needs of Lucia Capital Group evolve over time.
Essential Duties and Responsibilities
- Assist the CCO in developing, maintaining, and communicating the firm’s Compliance policies and procedures
- Assist AMLCO in developing, maintaining, and communicating the firm’s AML policies and procedures
- Assist AMLCO with the review of various exception reports to identify suspicious account activity
- Answer compliance-related questions from advisors, office staff and internal employees
- Assist with research and responses to regulatory inquiries, investigations and complaints
- Assist CCO with researching regulations and communicating any findings to advisors, office staff, or internal employees
- Draft product-specific disclosure forms
Other Duties and Responsibilities
- Review questionable U-4 and U-5 related information for FINRA securities registration or termination of registered representatives
- Conduct compliance presentations and training both for the corporate office and field supervising principals, registered representatives and associates
- Perform FINRA-required inspections of broker/dealer OSJ, branch and non-branch registered representative offices
- Review and approve advertising according to regulatory guidelines
- Review incoming and outgoing correspondence
- Prepare reports as may be needed
- Perform other duties as assigned
Qualifications and Requirements
- Bachelor’s degree or equivalent
- Series 7 and 24 licenses are required. Series 66 or 65 & 63 will be required within 90 days of hire
- 5-plus years’ experience in the compliance or supervision departments of a broker dealer or RIA
- Thorough knowledge and understanding of SEC, FINRA, and AML rules and regulations, and with the Investment Advisers Act of 1940
- Ability to work in a fast-paced, deadline-driven environment
- Ability to drive multiple projects and tasks forward simultaneously
- Effective communication skills, both written and verbal
- Attention to detail
- Advanced knowledge of Microsoft Office
- Ability to solve problems in an efficient and professional manner
- Strong capability in building relationships, leveraging networks, and fostering the development of a common vision
All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, age, disability, sexual orientation, national origin, or any other category protected by law, and are subject to a criminal and credit background check as is required for this role.
We at Lucia Capital Group and Lucia Securities, LLC are committed to helping our clients achieve their financial goals and providing growth opportunities to our employees. We offer benefits to all full-time employees, and compensation for this position will be commensurate with experience. We have a culture of teamwork, and we offer a business-dress work environment.
To apply, please email email@example.com with a PDF copy of your cover letter and résumé.