DEFINITION

Anthem Securities, Inc., a FINRA registered broker/dealer in the energy space is
seeking to employee a Chief Compliance Officer.

The primary purpose of this position is to be responsible for the daily operations of Anthem Securities, Inc. This position is also responsible for assuring compliance with SEC and FINRA rules and regulations relating to Broker Dealers.

DISTINGUISHING CHARACTERISTICS

This is a senior level position with strategic and supervisory responsibility for
the assigned function and will perform all required tasks with minimal
supervision. 

Responsibilities:

Essential functions may include, but are not limited to the following:

Assure compliance for Anthem Securities with SEC and FINRA regulations and control
systems.

Supervise overall compliance of Anthem Securities.

Follow, create and maintain the business continuity plan.

Conduct annual interview of each Registered Representative under his/her supervision.

Complete time-sensitive review and acknowledgement of the subscription agreement and suitability document.

Review activities of the non-branch business offices on a periodic basis.

Update and maintain the Written Supervisory Procedures Manual.

Review account statements.

Approve Advertising and Sales literature.

Review employee electronic communications pertaining to Anthem’s compliance rules and
regulations.

Oversee the hiring of Anthem’s Principle and Registered Representatives.

Maintain Anthem’s Form BD and Form BR.

Prepare annual written analysis, written training plans; maintain training materials
and training attendance documentation.

Oversee Anthem’s current Continuing Education Program.

Any other job-related duty as deemed appropriate by management.

Qualifications & Work Environment:

 KNOWLEDGE, SKILLS, AND ABILITIES

Thorough knowledge of FINRA’s rules and regulations, as well as the oil and gas industry.

Ability to effectively communicate in both written and verbal form.

Ability to manage others and accurate assess situations to make prompt and
well-inormed decisions.

Skilled in the use of MS office and negotiation of contracts.

MINIMUM QUALIFICATIONS

Education, Training, and Experience

BS Degree in Business Administration

Series 24 License or Series 39 security license

5 – 10 years in a Compliance role

3 years of supervisory experience

Physical Requirements

This position is primarily sedentary in nature, and has the following physical requirements:

Sitting:                             Frequent

Standing:                          Frequent  

Walking:                           Occasional 

           
Driving:                            Seldom

Talking/Hearing:                Frequent  

Lifting:                             < 10 lbs                Frequent

                                        10 – 25 lbs           Occasional

                                        25 – 50 lbs           Seldom

                                        50+lbs                 Seldom

Carrying:                         <10 lbs                  Frequent

                                       10 – 25 lbs            Occasional

                                       25 – 50 lbs            Seldom

                                       50+  lbs                Seldom

Repetitive
Arm/Hand Movement                                     Constant

Working Environment

Work in this position is primarily based in an office where there is no exposure to extreme hot/cold temperatures which is well-lit and relatively free from dangerous working conditions.