Investors Capital Corporation Work Values

Daily Duties at Investors Capital Corporation:

Chief Compliance Officer for both the Investment Advisor and Broker/Dealer entities for an nationwide independent firm offering a range of products from traditional to alternative investment opportunities. Responsible for the integration of supervisory and compliance policies within the field force. Provide continuous and ongoing information, advice and assistance to the brokers and investment advisors representatives on supervisory responsibilities, sales materials, security licensing issues/review and all related compliance/regulatory issues • Responsible for the creation, implementation, and interpretation of Investors Capital/Investors Capital Advisors’ compliance policies and procedures as it relates to NASD, State, and Federal regulatory rules and regulations. • Manage the Compliance Department and Licensing Department. • Responsible for the department audit schedule as well as audits of offices/OSJ/branches to ensure compliance with the rules and regulations of Investors Capital/SEC/NASD. • Supervise staff of 14 responsible for the providing training on security and industry issues (e.g. – anti-money laundering, non-cash compensation, books and record regulations and audits); annual compliance meetings; the review and approval of all Investors Capital sales materials, correspondence, and advertisements; account surveillance and trade review; and Patriot Act/money laundering procedures. • Assist in the review, maintenance, and revision of all firm agreements, Form B/D, and Form ADV. • AML Officer for the Firm • Supervise staff of 3 responsible for the all registered representative licensing functions including CRD, IARD and Variable Insurance appointments. This staff is also responsible for all corporate as well as financial filings

What they like about Investors Capital Corporation:

You give high priority to hiring firms with prestige. Market reputation and prestige of a firm may be determined through on-line research, and conversations with individuals working in your target industry. Note that firms "in the public eye" receive a great deal more critical publicity and attention than those operating with more anonymity. So as you assess your employment opportunities, be sure to seek out the positive aspects of the firm's reputation in addition to noting negative publicity the company may have received.

Tags

Compliance, securities, investment advisor, FINRA, SEC, fraud

Skills

Ecommerce Strategy and digital marketing channels optimization - SEO, SEM, email, affiliates - for high-profile accounts., Sales Support, Software Implementation, Requirements Analysis & Specification, Leadership

These are some of the questions we asked our climbers about their experiences with Investors Capital Corporation: