Compliance Officer, Principal Review and Supervision (LA, New Orleans)

February 14, 2024

Job Summary:

NEA is looking for a highly skilled Compliance Officer to assist the compliance management of the firm in executing the principal review and supervision of advisor practices. This position will work with advisors using their understanding of compliance requirements to meet the firm’s obligations while providing support through collaboration, effective leadership, and execution of the Officer role. The Compliance Officer will report directly to the Deputy Chief Compliance Officer.

Location: Ideal candidates will be located in Atlanta, New Orleans, Baton Rouge or San Diego.  Remote candidates may also be considered. 

 

Responsibilities and Duties:

Utilize custodial platforms and firm reporting to complete required supervision and oversight on both NEA advisory platforms and broker-dealer transactions. Analysis of the reporting necessary to implement oversight of the program using data and information from multiple sources.
Manage and execute compliance operational tasks; research, develop and integrate new procedures and technology for compliance-related efforts.
Operate as a OSJ Delegate for advisors of LPL Financial and manage the OSJ Review Tool within the LPL custodial systems.  Proficiency in LPL Client Works is highly preferred.
Liaise with counterparts at affiliated or friendly broker-dealers providing services and platforms to our advisors.
Assist in the execution and development of process and procedure utilizing technology solutions to provide effective oversight and escalation of compliance matters.
Partner with the Chief Compliance Officer (CCO) and Deputy  Chief Compliance Officer (Deputy CCO)as needed to complete branch consultations / examinations.
Assist CCO and Deputy CCO  in the maintenance and updating of required books and records to include policies and procedures, ADV brochures and the code of ethics as may be assigned.
Perform testing of policies and procedures in support of the annual review requirements of NEA and escalate identified issues to the CCO.
Partner with management and advisors in addressing compliance questions and concerns through thoughtful dialogue and inquiry to ensure proper advice and counsel is provided when needed.
Provide exceptional service to your clients – the advisors of NEA. Be an advocate and resource for the advisors and staff of NEA.

 

Qualifications:

5 years of securities industry experience within organizations providing investment advisory services. A minimum of 3 years should be in the areas of principal supervision or compliance.
A strong knowledge of securities industry operations will be preferred.
FINRA Series 7 and 24 are required.
A four (4) year college degree is required.
Proficiency with Microsoft Office and CRM applications strongly desired.
Must have the ability for overnight travel on a limited basis (
Superior customer service skills in support of the mission of NEA.
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