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Compliance Specialist

Job Location: AL

Job Description:

Preferred Capital Securities (“PCS”) is looking for a Compliance Specialist to join our broker-dealer. PCS is currently distributing multiple alternative investments in the Independent Broker/Dealer and Registered Investment Advisor (RIA) channels. The Compliance Department is responsible for assessing compliance risk, communicating requirements, independently assessing adherence and escalating issues of non-compliance. The Compliance Specialist will report directly to the Chief Compliance Officer (CCO) and will work out of the ATL, GA headquarters.

This position will be responsible for the day-to-day handling of compliance functions, with exposure to many areas of broker-dealer compliance with an opportunity to learn and grow within the department. The candidate will be expected to pass the SIE within the first 3 months and the Series 7 within the first 9 months.

The primary objectives include:

  • Provide thoughtful, and accurate information to other PCS departments.
  • Provide administrative support to CCO.
  • Creating, updating, and maintaining department databases.
  • Monitoring proposed, adopted, and amended rules and regulations.
  • Assist with onboarding new employees.
  • Help to resolve any items identified in the Annual Compliance Questionnaire.
  • Provide support for monitoring outside brokerage accounts.
  • Assist in internal email reviews.
  • Assist in AML independent audit.
  • Participating in compliance initiatives and projects as may be assigned.

The ideal candidate will bring:

  • A strong work ethic, and an earnest willingness to learn.
  • Strong verbal and written communication skills.
  • Knowledge of broker/dealer operations, retail sales best practices or alternative investments.
  • Exceptional attention to detail, time management, and organization.
  • Degree from 4-year Accredited University plus 1-2 years’ experience working for a Broker-Dealer or RIA.
  • SIE preferred.

About the company

Preferred Capital Securities, FINRA member, is a growing managing broker dealer based in Atlanta, Georgia. The focus of the company is serving as a wholesaling broker dealer for the purpose of marketing and distributing financial instruments to other financial institutions. It does this through a network of regional vice presidents located in territories across the United States. The principals of Preferred Capital Securities have decades of experience in raising capital from independent broker dealer firms, registered investment advisors, regional and NYSE firms, family offices and institutions. Please visit for additional information.

Application Instructions:

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