B. Riley Securities, Inc
Securities: Compliance Officer
B. Riley Securities, Inc, Trenton, New Jersey, United States,
Friday, August 23, 2024B. Riley Securities, Inc.Compliance OfficerB. Riley Financial provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices across the U.S. as well as an international presence. For more information, please visit
www.brileyfin.com .B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.We are seeking a full-time
Compliance Officer
to work in our metropolitan business centers including New York, New Jersey, Los Angeles, Memphis, Arlington, Chicago, and Boca Raton with flexible remote working opportunities. The salary range for this position is $60,000 to $80,500. Competitive salary and benefits package offered commensurate with experience.The ideal candidate will be a self-starter who is detail-oriented and has retail or institutional broker-dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training and professional growth opportunities are available for motivated candidates.Duties of this position include, but are not limited to the following:Daily trade review and surveillance.Review individual registered representatives’ trading activity for compliance with firm policies and procedures and industry standards of conduct.Monitor transactions for access persons.Investigate and resolve customer complaints.Review fund activity for consistency with its prospects.Respond to questions from registered representatives and supervisory personnel.Prepare, organize, and file requisite documentation.Provide guidance to fund management and supervisory personnel on new regulations or interpretations.Perform other duties as assigned.Education, Experience and Skills required:Bachelor’s degree in Finance, Business, or Economics.Three to five years of experience in the brokerage industry and/or previous Compliance experience.Series 7 and Series 24 preferred, but firm-sponsored training is available and encouraged.Proficient in MS Word, Excel, PowerPoint, and Outlook.Ability to organize and prioritize work without supervision.Self-starter with willingness to learn and adapt to new and challenging tasks.B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit-sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company-paid life and disability coverage.
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www.brileyfin.com .B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.We are seeking a full-time
Compliance Officer
to work in our metropolitan business centers including New York, New Jersey, Los Angeles, Memphis, Arlington, Chicago, and Boca Raton with flexible remote working opportunities. The salary range for this position is $60,000 to $80,500. Competitive salary and benefits package offered commensurate with experience.The ideal candidate will be a self-starter who is detail-oriented and has retail or institutional broker-dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training and professional growth opportunities are available for motivated candidates.Duties of this position include, but are not limited to the following:Daily trade review and surveillance.Review individual registered representatives’ trading activity for compliance with firm policies and procedures and industry standards of conduct.Monitor transactions for access persons.Investigate and resolve customer complaints.Review fund activity for consistency with its prospects.Respond to questions from registered representatives and supervisory personnel.Prepare, organize, and file requisite documentation.Provide guidance to fund management and supervisory personnel on new regulations or interpretations.Perform other duties as assigned.Education, Experience and Skills required:Bachelor’s degree in Finance, Business, or Economics.Three to five years of experience in the brokerage industry and/or previous Compliance experience.Series 7 and Series 24 preferred, but firm-sponsored training is available and encouraged.Proficient in MS Word, Excel, PowerPoint, and Outlook.Ability to organize and prioritize work without supervision.Self-starter with willingness to learn and adapt to new and challenging tasks.B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit-sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company-paid life and disability coverage.
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