Dawson James Securities, Inc., Member: FINRA/SIPC, is seeking an experienced and well-balanced Compliance Principal in its Boca Raton, Florida Corporate Office. This position will utilize compliance experience and overall knowledge of the industry to work with Firm personnel in meeting the Company’s goals.

You will be primarily responsible for multiple elements of the Compliance Department. You will be tasked with enforcing procedures and implementing new initiatives in keeping with the Firm’s policies and procedures as well as industry regulations. You will play an active role in various supervisory and surveillance-related processes.

Duties and Responsibilities

• Perform ongoing trade review and supervisory functions for retail branch accounts
• Provide support and guidance to financial representatives and their staff as it relates to supervision and compliance matters
• Perform principal review and approval of investment advisory and retail brokerage business
• Perform email reviews
• Assist in responding to regulatory requests from various regulatory bodies
• Work closely with other staff members, departments, home office staff and field personnel on various supervision and compliance related matters
• Gateway/CRD
• Onboarding of new Team members
• FinCEN reviews
• Review/approval of Private Securities Transactions and Outside account statements and confirmations.
• Other projects and duties as assigned

Qualifications:

·      Series 7 and 24 licenses required. Series 65 or 66 is a plus and will need to be obtained.

·      Minimum 2 years of Supervision experience within the securities industry

·      Strong knowledge of securities brokerage and investment advisory business and the regulatory landscape within the securities industry

·      Highly organized

·      Excellent verbal and written communication skills

·      Well-developed customer service and interpersonal skills

·      Strong multi-tasking skills and the ability to work under pressure

·      Desire to work in a team environment

Skills:

Strong technology skill set, solid understanding of industry terminology, with an ability to learn Firm and industry-specific programs and software.

Benefits:

·      401(k)

·      Dental insurance

·      Health insurance

·      Life insurance

·      Paid time off

·      Vision insurance

Schedule:

On-site Monday-Friday 8:30-5:00 PM