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:

Working for a company with an emphasis on social values and helping society is a clear and important priority for you - a critical factor in who you choose to work for. In contrast to other factors, you place an organization's reputation for fairness and concern for the community above most other aspects of the company. As you search for a new job opportunity, it is usually possible to find out if the company is involved in the community and/or if it is addressing problems and issues in society. Pay special attention to non-profit organizations and those specifically involved in social action. Moreover, speaking with current and former employees should enlighten you to perceptions of the fairness of the company's leaders and the treatment of employees.

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: