At Northland, our employees are the heart of our story—and we’re committed to their success! Please see below the details of this career opportunity and how it fits into our organization’s success.
This role will support the Firm’s compliance program to ensure employees and Northland comply with industry regulations and company policies. The ideal candidate will have an established understanding of broker-dealer FINRA, SEC and MSRB regulations and compliance requirements, preferably in Fixed Income Markets or Equity Capital Markets.
About This Role:
- Develop, maintain and execute most aspects of onboarding and offboarding employees.
- Manage activities relating to Northland conflicts of interest program, including the annual employee certification process, periodic attestations, social media, gifts and entertainment reporting, political contribution activities, outside business activities, and personal securities trading for employees.
- Participate in developing and delivering Northland’s training platform, which includes FINRA CE, Firm Element Continuing Education, Annual Compliance Meeting, AML training and other training.
- Support and/or carry out various components of the compliance monitoring and testing program of the Firm’s business units and branches to ensure policies and procedures are being followed, and prepare related findings and reports
- Coordinating proper reporting channels for compliance issues.
- Cultivate a strong partnership with business line and other support function colleagues to ensure compliance is viewed as a trusted advisor and partner
- Stay up to date of the ever-changing regulatory environment and actively participate in industry groups committed to assisting in and supporting the formulation of good regulation.
- Serve as the primary liaison with business line stakeholders and regulators for related examinations.
- Partner with business lines to develop, maintain and execute effective compliance policy and procedures designed to ensure the firm 's systems of supervision and control meet regulatory requirements and industry standards
- Deter, identify, and remediate non-compliance with applicable firm policies, laws and regulations
- Provide guidance on effective solution to detected problems and offer recommendations for corrective action as appropriate.
- Educate the employee base through the development and use of comprehensive and understandable written policies, procedures, and training materials
- Assist the Chief Compliance Officers on projects and additional duties as required
The Ideal Candidate for This Role:
The requirements listed below are representative of the knowledge, skill, and/or ability required in this job position.
- Sufficient working knowledge of rules and regulations related to broker/dealer SEC, MSRB, FINRA and State Rules and Regulations
- Minimum of 5 years in supervisory or compliance role in the financial services industry, preferably at a broker-dealer
- Preferred experience in Fixed Income Markets and Equity Capital Markets compliance and regulations.
- Familiarity with BSA and AML rules and regulations
- Ability to understand legal and regulatory rules and procedure documents, and implement procedures and practical solutions
- Exercise sound judgment with an understanding of effective escalation of risk
- Have strong research, investigative, and critical thinking skills
- Ability to develop and maintain strong working relationships
- Comfortable managing multiple projects, strong ability to prioritize and meet deadlines
- Strong verbal and written communication skills
- Must be a self-starter and work independently with minimal oversight
- Able to analyze quantities of data and spot patterns outside the norm, identifying when additional research is required and following it to a conclusion
- Periodic travel required
IV. MINIMUM EDUCATION AND EXPERIENCE
- College degree or comparable securities industry experience
- SIE, Series 7 or 52, 63, 24 or 53 or Series 14
V. PHYSICAL DEMANDS
The physical demands described herein are representative of those that must be met by an employee to successfully perform the essential functions of this job. Reasonable accommodations may be made to enable individuals with disabilities to perform the essential functions.
While performing all duties of this job position, the employee should be able to work at least eight (8) hours per day and must be able to communicate with the public.
Salary Range - $80,061 - $132,09 * Compensation with be commensurate with experience
Candidates must possess unrestricted work authorization and not require future sponsorship.
Work Environment:
It is anticipated that the incumbent in this role will work onsite at the posted location. Our onsite environment fosters innovation, mentorship, and a vibrant culture where ideas flow freely and relationships flourish. As part of our team, you'll experience the energy of our collaborative spaces designed to support your professional growth while working alongside talented colleagues who inspire excellence daily. Please note that work location is subject to change based on business needs.
Compensation and Benefits Overview:
We offer a variety of benefits designed to keep you and your family physically and financially healthy. Not only do we offer a competitive salary and work-life balance, we offer benefits to match your needs:
Medical, Dental, Vision Insurance
401k, With Matching Contributions
Time Off Programs
Health Savings Account (HSA)/Dependent Care
Employee Banking
Growth Opportunities
Tuition Assistance
Short-Term/Long-Term Disability Insurance
Learn more about our benefits here: https://www.fnbo.com/careers/benefits/.
To obtain compensation and benefit information related to this specific role, e-mail First National at TAGAdmin@fnni.com. To ensure you receive a response, include the number of this job (listed below) in the subject line of your message.
Job number: R-20260595
Registration Requirement:
This position requires Financial Industry Regulatory Authority (FINRA) registration. Qualification requirements include meeting applicable financial industry responsibility, regulatory requirements, credit fitness and criminal background standards. Successful candidates must meet ongoing regulatory requirements including acceptable background investigation, credit report and fingerprinting results.
Equal Opportunity & Belonging:
We believe that the quality of our employee experience is at the heart of our customer experience. One key pillar of our intended employee experience is Belonging. Belonging means we are committed to fostering a workplace culture where employees of all backgrounds feel valued, recognized, and empowered to be their authentic selves—no matter their role or where they are in their journey.
Learn more here.
Northland is an equal opportunity employer for all employees and applicants and makes employment decisions without regard to status or identity.
Click here to download 'EEO is The Law' Self-Print Poster
Click here to download 'EEO is The Law' Supplement for Federal Contractors
Click here to download 'EEO is The Law' GINA Supplement
Northland is an Equal Opportunity/Affirmative Action/Veterans/Disability Employer - Member FDIC
Northland follows federal law regarding the use of marijuana (this applies to all non-California applicants)
Application Deadline:
All our jobs will be posted for a minimum of 5 calendar days. Job postings may come down prior to 5 calendar days based on volume of applicants.
