Chief Compliance Officer

 

About the Company:

 

Eliason Financial Group, LLC is a NASD member introducing broker-dealer that offers a full range of traditional investment products in addition to Tenant-In-Common real estate investments.  Our parent company, Eliason, Inc., has been in the real estate investment business for over 40 years.

 

Principal Responsibilities:

 

1.  Maintenance of an effective regulatory compliance program to ensure compliance with applicable laws and regulations, particularly state and federal securities laws.

2.  Working with regulators in SEC and NASD audits and/or examinations.

3.  Updating, maintenance, monitoring and assessment of compliance policies and procedures to ensure that compliance risks are addressed

4.  Maintenance and supervision of appropriate testing and surveillance programs

5.  Preparation and presentation of written and oral reports regarding compliance projects to senior management.

6.  Periodically provide training with regard to new or updated policies and procedures to ensure full compliance with internal and external regulations.

 

Job Requirements:

 

1.  Bachelor?s degree or equivalent experience

2.  3-5 years of successful securities compliance experience

3.  Hold current Series 7, 24, 53, and 63 or 65

4.  Clean U-4

5.  Direct experience with regulatory examinations, particularly the NASD and SEC.

6.  A history of performance in compliance and a record of dealing effectively with senior management and operational staff

7.  Ability to act decisively and independently in situations requiring quick analysis and application of sound judgment based on knowledge and past experience

8.  Strong written and oral communication skills

9.  Superior organizational skills

 

Reports To:  President of Eliason Financial Services Group, Inc.