Creative problem solving. Innovative thinking. A commitment to client service. If that sounds like you, HJ Sims provides the opportunity to make a difference.
Find Your Career at HJ Sims
Whether you join us as a banker, trader, advisor, credit analyst or underwriter, you’ll find a working environment that encourages collaboration, innovation and excellence.
As one of America’s esteemed financial firms, HJ Sims is built on teamwork, diversity and mutual respect. We do our homework, talk straight and work with our clients to achieve their financial goals.
At HJ Sims, you are a part of a culture that fosters original thinking and a willingness to challenge the status quo. Our clients expect no less.
Our Workplace Culture
As a full-service financial services firm delivering innovative solutions for all clients, HJ Sims promotes a healthy, positive and supportive workplace.
This includes providing educational and training opportunities, compassionate benefit programs, and professional growth and development. Our goal is to provide our employees with the necessary tools and resources to contribute to our growth and success in a meaningful way.
HJ Sims is an equal opportunity employer and will not discriminate on the basis of race, color, sex, religion, sexual orientation, national origin, age, ancestry, marital status, being a party to a civil union, handicap or disabilities or perception of disabilities, political activity, or other protected class status. At HJ Sims, equal employment is not only a legal principle; it is a moral commitment as well.
As a financial professional, you are a valued member of our PWG team. You collaborate with HJ Sims traders, bankers, credit analysts and other specialists dedicated to providing expert market intelligence, investment strategies and product innovation—helping you find the right investments tailored to your clients’ portfolios. You work closely with your clients to determine their individual needs, ensuring that employed portfolio strategies support their goals. You interact daily with highly skilled colleagues, leveraging their deep expertise for the benefit of your clients.
When you join HJ Sims, you are part of a firm with an extensive history of helping to generate income for your clients. We encourage our financial professionals to look at the whole picture – investing for life, helping clients to prepare for life’s milestones, retirement and unplanned events along the way. We offer you the tools to deliver customized portfolios that benefit your clients in the most meaningful way.
- A range of investment solutions and products
- A suite of technology systems, trading platforms and support
- Best-in-class wealth management and managed account programs
- Comprehensive marketing and communications support
As a member of our Investment Banking team, you will work on behalf of your clients as a trusted advisor, offering creative solutions, financing structures and cost-beneficial alternatives to provide lower capital costs and to meet their needs. As a valued member of the team, you join other HJ Sims professionals who strive to deliver the right expertise, the right strategies and the right solutions for clients, ensuring they are always Financed Right®.
At HJ Sims, our most valuable asset is our people. As a multi-generation family owned firm, we understand that our success is attributed to our people, that’s why we put people first. Your personal success is our collective success.
Support the Chief Compliance Officer in administering the BD and RIA compliance programs. Identify irregularities, and potential areas of risk; develop and implement corrective action plans for resolution, and help to mitigate future risk.
Essential Job Duties & Responsibilities
- Assist with testing and documentation of Compliance policies and procedures
- Assist in the preparation for regulatory examinations, inquiries
- Conduct examinations of branch offices
- Conduct training as necessary
- Assist in regulatory filings
- Email reviews and marketing material reviews
- Assist in the overall administration of the compliance program
Education and Experience
- Bachelor’s degree
- Relevant work experience: 5 years
- Series 7 required, 24 a plus
- Hands on experience in monitoring and testing (FINRA Rule 3120, Sec Rule 206(4)-7)
- Retail broker-dealer experience preferred
- Knowledge of Pershing, FINRA Web CRD a plus
Skills and Abilities
- Able to work independently
- Knowledge and overall understanding of the securities industry, compliance rules and regulations, risks, and product suitability
- Excellent research, analytical, communication and presentation skills
- Strong interpersonal skills with the ability to work collaboratively and with people at all levels of the organization
- Excellent project management and organizational skills and capability to handle multiple projects at one time
- Solid verbal and written communication skills
- Strong attention to details
- Must be able to work independently
- Strong knowledge MS Office and other relevant computer applications
From my earliest years as a senior living investment banker, despite working with a competitor firm, I noted and respected HJ Sims as an innovator and driving force in shaping senior living finance. These characteristics, underlying the commitment to creative solutions that enable clients to achieve fulfillment of their missions serving seniors, remain foundational in today’s dynamic environment. I’m honored to be a part of the HJ Sims team, working with a talented group of colleagues, employing an exceptional and unique approach to the provision of investment banking services. As importantly, in my six-plus years with the firm, I’ve come to appreciate an equally important dimension to the firm – that of its culture and particularly the value placed on people across-the-board – firm employees, clients and business partners. While an intangible, this characteristic, coupled with innovation and dedication to identifying and implementing the “Right” financing solution for clients, is what exemplifies HJ Sims, for all of those with whom it engages. It is a special place to work and advance a career.
I was drawn to HJ Sims because of the firm’s culture—one of integrity, healthy collaboration and spirited teamwork. My clients, several of whom have been with me for many years, are mission-based, and value doing the right thing. I, too, believe in these vital qualities, traits that are shared at HJ Sims.
What I appreciate about HJ Sims is the balance between the entrepreneurial spirit of the firm and the guidance, support and platforms provided that enable me to succeed in serving my clients’ best interests. At the heart of my business is the client and their needs; at HJ Sims I am empowered to provide individualized, tangible advice—guidance that is unique as each client.
Private Wealth Management
Education is the best investment; HJ Sims provides the ongoing comprehensive guidance that I need to offer my clients world-class service in this ever-changing marketplace.
Private Wealth Management
I had represented HJ Sims for years as their counsel and was able to witness firsthand the firm’s ‘client-first’ ethos in action. As I was talking with Gen Freda, she said to me (in respect of her then 60+ years of service to HJ Sims), ‘Melissa, when you enjoy what you do and you have the chance to work with such a great group of people, that’s the rainbow.’ It’s so true. I feel truly blessed to have the opportunity to be a part of such a great team at HJ Sims.” expectations.
I had no preconceived notions about HJ Sims, and I based my decision to join on a shared set of beliefs and principles. For example, one of my philosophies is ‘honesty is always the best policy,’ a value that I apply to my business. It brings me great joy when the proverbial light bulbs of board members are illuminated, and they are empowered to make the best decision, based on clear understanding of all their options.’ This is the same sentiment I felt when I made the career choice to join HJ Sims.”
HJ Sims Culture
Senior Living COVID-19 Sentiment Survey