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Careers at Packerland

Date Posted: May 21, 2020

We are hiring! Broker Dealer Compliance Officer

Packerland Brokerage Services, a nationally recognized Broker Dealer and Registered Investment Advisor based in Green Bay, Wisconsin, is hiring! Since 1994, our company has continued to grow and thrive, and we are excited to have talented individuals like you join the Packerland Team! Due to this growth, we are now seeking a Broker Dealer Compliance Officer (BD Compliance Officer) to join our dynamic team.

The Broker Dealer Compliance Officer will report to the Chief Compliance Officer, ensuring the company functions in a legal and ethical manner while meeting its business goals. They are responsible for helping the development of compliance programs, reviewing company policies, and advising management on possible risks.

Principal responsibilities will include the following (duties may be modified, or additional duties assigned):

  • The person in this position will maintain a system of supervision that adheres to the Written Supervisory Procedures (WSPs) of Packerland while also working directly with the various internal departments as well as externally with Packerland's representatives and OSJ Groups (field supervisors).
  • The individual in this role is also responsible for scheduling, organization and execution of the firm's branch audits. This may include, but is not limited to, coordination with representatives and OSJs as well as direct communication with other departments at Packerland.
  • The BD Compliance Officer is also required to provide a level of support for the onboarding of new representatives as well as continued support for current representatives of Packerland through training programs and other educational resources.
  • This individual will also be responsible for the review and approval of all Communications with the Public, written and electronic, as well as the on ongoing supervision/monitoring of written and electronic communications.
  • The BD Compliance Officer will establish, review and maintain the firm's policies and procedures. This will be accomplished through regular and routine WSP review/revision based on regulatory notices or updates to firm policies/procedures.
  • The BD Compliance Officer will participate as an active member of the New Product Committee, on new product vetting/approvals and will perform on-going review of previously approved products.

Qualifications

  • Experience: 1-3 years previous experience as a Compliance Officer or Analyst preferred. Experience in the field as a Registered Representative will also be considered. Training will be provided for this position as needed.
  • Licenses: FINRA Series 7, 24, 63, and 65 will be required for this position. Needed exams can be acquired after hire for the right candidate. A Series 66 will be acceptable in lieu of the 63/65.
  • Education:  College degree preferred; relevant business or compliance experience will be considered in lieu of a college degree

Skills

  • Good organization skills and the ability to work without direct supervision
  • Microsoft Office Suite knowledge and experience required; spreadsheet design extremely helpful
  • Ability to work by yourself as well as in a team setting
  • Ability to identify and initiate process improvements
  • Dependable work attendance

Packerland Brokerage Services offers competitive compensation and benefits.

Packerland Brokerage Services is an Equal Opportunity Employer. If you meet these requirements, email your resume and salary requirements to jobs@packerlandbrokerage.com with the subject line Broker Dealer Compliance Officer.