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Compliance Associate

5 months ago

Indianapolis, United States WestPoint Financial Group Full time
Job DescriptionJob Description

Compliance Associate

Indianapolis, IN

WestPoint Financial Group, a full-service financial services firm, is looking for a highly detailed professional to join our compliance team. This role plays an integral part in supporting our team of compliance supervisory officers and ensuring our firm and associates comply with industry guidelines and regulations. The ideal candidate for this role will be skilled in managing deadlines, multi-tasking, prioritization and must be a highly proficient communicator.

Core Job Responsibilities:

-prepare documentation for inspections and audits

-new hire onboarding, terminated agent offboarding

-review and track marketing materials, websites and seminars

-track and maintain information for various compliance and supervision protocols and systems

-various administrative tasks as assigned

Preferred Qualifications:

-1+ years of experience in a financial services compliance support role or 3+ years of professional experience in a similar role

This position is Full-time, M-F, and works from the office.

Salary is proportionate with qualifications and experience.

No immigration sponsorship available for this role.

WestPoint Financial Group is dedicated to bringing financial wisdom and clarity in a world of infinite information. Our associates are highly competent professionals, respected for their precise expertise, product knowledge and commitment to professional growth. Our stringent code of ethics places the client’s needs above all others and demands uncompromising integrity in every aspect of our business conduct.