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Compliance Specialist
4 weeks ago
Compliance Specialist
Location: 100% Remote – Will be working on EST or CST time.
Industry: Wealth Management
Pay: $30 - $35/hr
About Our Client:
Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team and looking for a Compliance Specialist who can ensure that all regulatory requirements are met while supporting the firm's advisors and clients.
Job Description:
The Compliance Specialist will be responsible for managing compliance processes related to employee onboarding and offboarding, handling FINRA U-4 and U-5 filings, and maintaining the firm's compliance records. This role involves working closely with various departments to ensure regulatory adherence and support the firm's growth and operational efficiency.
Key Responsibilities:
- Collaborate with team members to provide a seamless compliance experience for advisors and clients.
- Manage the onboarding and offboarding process for employees, including handling FINRA U-4 and U-5 filings.
- Maintain and update compliance records, including firm and producer insurance licenses.
- Review and approve various employee disclosures, such as social media and brokerage accounts.
- Support the onboarding of new advisor teams and assist with compliance-related projects.
- Coordinate the distribution of exam study materials and manage exam windows for employees.
- Handle and resolve compliance support cases efficiently, ensuring timely responses.
- Develop and maintain compliance desk procedures.
Qualifications:
- Minimum of 3 years of experience in a professional office environment, preferably in wealth management or a related industry.
- Previous experience working with a registered investment advisor and/or broker-dealer.
- Strong written and verbal communication skills, with a high attention to detail.
- Proficiency in Microsoft Office applications.
- Foundational understanding of SEC and FINRA regulations.
- Experience with broker-dealer operations is a plus.
Additional Details:
- Contract Length: 3 months+, need help during busy time
- Hours: 9 AM - 5 PM
Perks:
- Opportunity to work remotely while supporting a leading wealth management firm.
- Gain valuable experience in compliance within a dynamic industry.
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