Securities: Compliance Officer

Compliance Officer

B. Riley Financial provides collaborative solutions tailored to fit the capital raising and business advisory needs of its clients and partners. B. Riley operates through several subsidiaries that offer a diverse range of complementary end-to-end capabilities spanning investment banking and institutional brokerage, private wealth and investment management, financial consulting, corporate restructuring, operations management, risk and compliance, due diligence, forensic accounting, litigation support, appraisal and valuation, auction and liquidation services. B. Riley Financial is headquartered in Los Angeles with offices across the U.S. as well as an international presence. For more information, please visit www.brileyfin.com.

B. Riley Securities provides a full suite of investment banking, corporate finance, advisory, research, and sales and trading services. Investment banking services include initial, secondary and follow-on offerings, institutional private placements, merger and acquisition (M&A) advisory, SPACs, corporate restructuring and recapitalization. B. Riley is nationally recognized and highly ranked for its proprietary small-cap equity research.

We are seeking a full-time Compliance Officer with flexible remote working opportunities available within any of our metropolitan business centers including New York, New Jersey, Los Angeles, Memphis, Arlington, Chicago and Boca Raton. Competitive salary and benefits package offered commensurate with experience.

The ideal candidate will be a self-starter who is detail oriented and has institutional broker dealer experience. The candidate will be part of a team of compliance personnel servicing brokers and traders across the U.S. Emphasis on teamwork and collaboration is a must. Training, licenses, and professional growth opportunities are available for motivated candidates.

Duties of this position include, but are not limited to the following:

1. Maintain and update Firm’s Restricted and Watch List.
2. Conduct daily trade review and surveillance.
3. Review and preclear employee personal trade requests.
4. Review and clear research reports.
5. Investigate and resolve customer complaints.
6. Provide advice and regulatory interpretations to registered representatives and supervisory personnel.
7. Assist in preparing SEC and FINRA regulatory filings.
8. Support in testing policies and procedures.
9. Perform other duties as assigned.

Education, Experience and Skills required:

1. Bachelor’s degree in Business, Finance, or Economics preferred.
2. Three to five years of experience in the capital markets and brokerage industry, relevant compliance experience preferred.
3. Series 7 and Series 24 preferred, but Firm-sponsored training is available and encouraged.
4. Excellent communication skills required.
5. Strong competency in MS Word, Excel, PowerPoint and Outlook.
6. Attention to detail and ability to prioritize work without supervision. Comfortable working under pressure in a rapidly changing environment.

7. Self-starter with willingness to learn and adapt to new and challenging tasks.

B. Riley Financial, Inc. employees enjoy competitive salaries, access to our 401(k) profit sharing retirement plan and our other benefits including paid holidays, vacation, and sick leave, voluntary group medical, dental, and vision insurance, and company paid life and disability coverage.