Job Title: Assistant Compliance Officer

FLSA Status: Non-Exempt

GENERAL STATEMENT OF DUTIES:

PKS is a leading full-service broker/dealer and financial services firm offering state-of-the-art products and technology to more than 1,600 Registered Representatives (RR) with over 600 offices.

As an Assistant Compliance Officer, you will be responsible for assisting the Compliance department with testing and monitoring. This position will gain an understanding of pertinent regulations and how to meet responsibilities within the Compliance department. Additionally, this position will assist the Chief Compliance Officer in implementing and enforcing the firm’s compliance program by collaborating with all levels of the organization. You will be responsible for helping to ensure compliance with current/developing industry regulations and maintaining and improving the compliance program of the firm where applicable.

ESSENTIAL DUTIES AND RESPONSIBILITIES:

• Onboarding, offboarding Register Representatives (RR) via Gateway U4/U5 filing.
• Promote and deliver a compliance culture within the firm and assist with staff training on compliance matters.
• Assist with regulatory inquiries and branch office inspections and internal audits.
• Ability to handle several different tasks at the same time while often meeting tight deadlines.
• Assist with compliance testing and monitoring.
• Keep abreast of changing compliance laws and regulations and informing compliance staff and management of these changes.
• Monitor the status of corrective actions being taken.
• Provide compliance technical assistance, training and analysis as necessary.
• Assist other departments within the firm with assigned tasks.
• Ensure timely processing of all requests and submissions.
• Build and maintain effective working relationships with other team members to ensure high-quality service and timely processing of directly held investments.
• Bring enthusiasm, resourcefulness, and a positive attitude each day.

QUALIFICATIONS, KNOWLEDGE, AND SKILLS:

• Excellent verbal and written communication skills.
• Excellent interpersonal and customer services skills.
• Excellent organizational skills.
• Exceptional time management skills.
• Superior attention to detail.
• Ability to follow a project through completion.
• Self-starter who can work independently.
• Team player who can work collaboratively.
• Ability to analyze problems quickly and efficiently.
• Ability to function well in a high-paced and high-volume environment.
• Computer proficiency in Microsoft Office Suite is required.
• Prior brokerage industry experience required.
• Available to travel (20%-30% maximum per year)
• The ideal candidate should possess or have a willingness to sit for SIE exam, Series 7, and Series 63 FINRA licenses and look to advance upwards within the firm.

EDUCATION and/or EXPERIENCE:

• Bachelor’s degree from an accredited college or university with emphasis on business, finance or related field with one year’s experience in Customer Service/Financial Accounting preferred.
• SIE exam, Series 7, and Series 63 preferred or willingness to obtain the licenses.
• Proficient in Microsoft Excel.

CERTIFICATIONS, LICENSES, REGISTRATIONS:

• SIE exam, Series 7, and Series 63 preferred or willingness to obtain.

SUPERVISORY RESPONSIBILITIES: None

WORK ENVIRONMENT AND PHYSICAL DEMANDS:

The work environment characteristics and physical demands described are representative of those an employee encounters while performing the essential functions of this job. Reasonable accommodation may be made to enable individuals with disabilities to perform the essential job functions of the position. This position operates in a professional office environment. The noise level in the work environment is usually moderate. The role routinely uses standard office equipment such as computers, phones, copiers, and filing cabinets. While performing the duties of this job, the employee is regularly required to sit or be sedentary, Daily activities will require the position to routinely walk, stand, sit, use hands and fingers, handle objects or controls, talk and hear, stand, and reach with hands and arms. Specific vision abilities required by this job include close vision. The employee may be asked occasionally to bend, lift, and/or move up to 40 lbs.

POSITION TYPE AND HOURS:

Full-time, standard workweek, Monday-Friday; 8:30 AM- 5:00 PM

PKS Investments Inc. is an equal opportunity employer that is committed to diversity and inclusion in the workplace. We prohibit discrimination and harassment of any kind based on race, color, sex, religion, sexual orientation, national origin, disability, genetic information, pregnancy, or any other protected characteristic as outlined by federal, state, or local laws. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.

Job Type: Full-time

Pay: $50,000.00 - $58,000.00 per year

Benefits:

• 401(k)
• 401(k) matching
• Dental insurance
• Flexible spending account
• Health insurance
• Health savings account
• Life insurance
• Paid time off
• Parental leave
• Professional development assistance
• Vision insurance

Physical Setting:

• Office

Education:

• Bachelor's (Preferred)

Experience:

• Financial services: 1 year (Preferred)

Ability to Commute:

• Albany, NY (Required)

Work Location: In person