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[ RIA Compliance Manager/CCO-FINRA Series 65/66 Required ] Job Information
Company NEXT Financial Group, Inc. Department Compliance
Category Compliance Job Type Full-Time Perm.
Job Status Sourcing Salary Range NA
Minimum Education University Degree Title
Minimum Experience No of Jobs 1
Duration Start Publishing 01/30/2018
Stop Publishing 02/28/2018 Country United States
State Texas City Houston 77042

Position Overview


NEXT Financial Group, Inc., an award-winning independent broker-dealer, has an exciting opening as a full-time RIA Compliance Manager/CCO. This role is focused on supporting NEXT’s Chief Compliance Officer and the NEXT RIA Compliance team in developing and maintaining an effective/robust investment advisory compliance program for NEXT Financial Group, Inc. (“NEXT”). The position is also the Chief Compliance Officer of NEXT’s affiliated adviser, Visionary Asset Management. This position involves maintenance of Investment Adviser (IA) policies and procedures, drafting disclosure documents and agreements, conducting compliance program testing and risk assessments and assisting in oversight of Independent RIAs formed by NEXT’s Registered Representatives.


Build a career and develop your skills in an encouraging environment with large opportunities for growth and competitive company benefits. The candidate should be a self-starter who works effectively with minimal supervision. Become a part of an established firm whose culture focuses on empowering home office staff to achieve their goals with the support of fellow coworkers.


Position Content


  • Prepares and maintains investment adviser policies and procedures manual, codes of ethics and related forms and checklists as assigned

  • Keeps assigned IA disclosure documents, advisory agreements and brochures current

  • Manages other IA department personnel

  • Conducts risk assessments and leads/participates in testing of IA compliance programs

  • Vets RR requests to register as Independent RIAs against firm policies and procedures and oversees onboarding and ongoing monitoring

  • Prepares and files Form ADV amendments

  • Assists NEXT’s CCO in responding to ERISA questions from IARs and assists with ERISA initiatives

  • Monitors changes in applicable laws, rules and regulations and industry trends and conducts regulatory research

  • Responds to IA compliance-related inquiries from IARs, recruits and home office personnel

  • Performs other related projects and tasks as assigned


Knowledge & Skills Desired

  • Bachelor’s Degree or equivalent work experience required.

  • Series 65/66 required.

  • Series 7 and 24 preferred.

  • Minimum 5 years compliance experience, preferably including investment advisory compliance.

  • Knowledge of Investment Advisers Act and state securities rules and regulations required.

  • Experience with diverse offering of fee-based advisory services, preferably retail.

  • Demonstrated project management and strategic planning skills. Strong analytical, follow-up, interpersonal, oral and written communication and research skills. Strong Microsoft Office skills.

  • Experience using Protegent/Sungard Surveillance system is a plus.

Preferred Skills
Posted 01/30/2018 15:50:01