Summary of Position
B. Riley FBR has an immediate opening for a Compliance Associate in its Los Angeles, CA headquarters. This position requires experience within a compliance department of an investment advisor or broker dealer. This role supports the General Counsel and compliance officers to ensure that the firm remains in compliance with rules and regulations.
Essential Position Responsibilities
- Conduct daily review of Firm’s trading activities
- Maintain and update Firm’s Restricted and Watch List
- Review and preclear employee personal trade requests
- Prepare written correspondence to regulatory inquiries
- Conduct preliminary review of marketing material
- Assist in employee onboarding and registration with regulatory organizations
- Review electronic correspondence and identify potential issues
- Support in the conduct of various supervisory control testing
- Implement and maintain compliance program to meet industry and regulatory standards
- 2-4 years of broker dealer or investment advisor compliance experience
- Knowledge of financial services or asset management industry
- Attention to detail, comfortable working effectively under pressure in a rapidly changing environment
- Proactive approach in identifying and correcting existing or potential problem areas
- Strong competency in utilizing Microsoft Word, Excel, and PowerPoint
- Outstanding verbal and written communication skills
- Strong time management and project management skills
- Ability to develop relationships with staff
- FINRA Series 7 or Series 24 a plus, or ability to obtain the license(s). Firm will provide support after hire.
- Competitive pay and benefits along with opportunities for professional growth
- Position reports to CCO/ Deputy General Counsel
About B. Riley FBR, Inc.
B. Riley FBR, Inc. is a leading investment bank which provides corporate finance, research and sales and trading to corporate, institutional and high net worth individual clients. Investment banking services include initial secondary and follow-on offerings, institutional private placements and merger and acquisitions advisory services. The firm is nationally recognized for its highly ranked proprietary equity research.
B. Riley Financial, Inc. (NASDAQ:RILY), through its subsidiaries, provides collaborative financial services and solutions to the capital raising and financial advisory needs of public and private companies and high net worth individuals. The company operates through several wholly-owned subsidiaries, including B. Riley FBR, Inc., Wunderlich Securities, Inc., Great American Group, LLC, B. Riley Capital Management, LLC (which includes B. Riley Asset Management, B. Riley Wealth Management, and Great American Capital Partners, LLC) and B. Riley Principal Investments, a group that makes proprietary investments in other businesses, such as the acquisition of United Online, Inc.
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