Compliance Auditor

This range is provided by Axtella. Your actual pay will be based on your skills and experience — talk with your recruiter to learn more.

$60,000.00/yr - $70,000.00/yr

Direct message the job poster from Axtella

Axtella, LLC provides the business servicing needs to financial professionals from across the United States who choose to affiliate with either of our well-established independent investment securities broker-dealers (Sigma Financial Corporation and Parkland Securities LLC) and/or our Registered Investment Advisor (Sigma Planning Corporation).

The Compliance Auditor is responsible for conducting on-site and remote branch examinations of Financial Professionals. The Compliance Auditor reports to the Audit Supervisor. The branch examination process involves the review of a branch office and all associated persons that conforms to FINRA and state requirements along with our Compliance Manual and Written Supervisory Procedures (WSPs). The Compliance Manual and WSPs are designed to detect potential violations of associated persons in order to safeguard the customer and provide on-site training.

This role requires a moderate amount of domestic travel. One (1) week training period must be performed at the home office in Ann Arbor, Michigan. Additionally, infrequent presence at home office location is required.

• One-on-one coaching with financial professionals to ensure that business operations adhere to our Compliance Manual and WSPs.
• Enjoy building relationships and guiding advisors through an expeditious audit process.
• Know and continue to learn new FINRA, SEC, and other regulatory body’s regulations.
• Not necessarily interested in performing sales work as a financial advisor.
• Partner with internal teams (Regional Compliance Supervisors, wealth planning, compliance, relationship management, training) to connect financial professionals with the subject matter experts that can support their objectives.
• Maintain and grow knowledge on industry trends, benchmarks, and tools empowering financial professional success.

Strong communication skills are required, most important is the ability to communicate verbally. However, written communication skills are also needed. This individual must be able to clearly and effectively communicate information that the recipient may not want to hear.

Moderate computer skills are required. Strong with time management/scheduling required. Experience with QuestCE ideal.

Must have 2+ years of experience working in the investment securities broker-dealer or registered investment advisory industry. Bachelor’s degree preferred.

FINRA Series 7 license preferred.

• Competitive wages
• Paid time-off
• Wellness benefits
• Paid tuition/education benefit
• Retirement plan, with employer match

• Frequently required to sit and utilize visual acuity and finger dexterity to operate equipment, including keyboard.
• Frequently required to talk and hear via telephone hand-set.
• Will work within open-cubicle environment with bright fluorescent lighting and moderate noise levels.
• Requires a moderate amount of domestic travel. One (1) week training period must be performed at the home office in Ann Arbor, Michigan. Additionally, infrequent presence at home office location is required.

Note: The above is intended to describe the general content of and requirements for the performance of this job. It is not to be construed as an exhaustive statement of duties, responsibilities, or physical requirements. Nothing in this job description restricts management’s right to assign or reassign duties and responsibilities to this job at any time. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Applicants for employment must have work authorization that does not now or in the future require sponsorship of a visa for employment authorization in the United States and Axtella.

Axtella supports Sigma Financial Corporation, Parkland Securities LLC, and Sigma Planning Corporation. These firms, under common ownership and control, provide a unique personal experience for our independent representatives. We define this experience as Independence. Through our family-feel-approach, We DELIVER Unparalleled Support to Build Legacies for Independent Financial Professionals.