Principal, Review Specialist

2 weeks ago

Akron, United States Valmark Securities Full time

Job Description Job Description Job SummaryThe Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requirements including resolving Not in Good Order (NIGO) business related to RegBI, DOL, and suitability.Essential Functions and ResponsibilitiesReview and approve new business and transaction related requests, including but not limited to T+1/post-transaction review through the use of electronic imaging and our workflow systems.Process and resolve post transaction cases in NIGO queues, confirm or override NIGOs, approve business as appropriate.Provide assistance to Sr. Principals in performing day-to-day responsibilities as directed.Assist with any special approvals or projects related to risk management.Assist in reviewing and updating the following tools: PASS Form, Rollover Tool, Benchmarking Data, 529/Breakpoint Resources, etc.Assist in reviewing and updating principal review guidelines.Assist in reviewing eDeposit check ledger monthly to monitor, review, and identify rollover transactions defined by the DOL and ensure compliance.Provide research support regarding the Consolidated Audit Trail (CAT) and assist with resolving any deficiencies.Assist in reviewing MSRB trade reconciliation reports and ensure transactions are compliant with the MSRB regulations and rules.Ensure compliance with Written Supervisory Procedures (WSP) and Anti-Money Laundering (AML) program.Notify management when potential business risks on business submitted have been identified and business is not in accordance with compliance guidelines and regulatory requirements.Maintain knowledge of current regulatory requirements (i.e. RegBI, DOL, MSRB, etc.).Record detailed notes in CRM for further processing by other team members and for use for regulatory requirements and audits.Provide backup assistance to other team members as business needs dictate, (i.e. Investment Operations call queue).Perform other tasks assigned by management.Core CompetenciesStrong knowledge of financial industry, regulations, and investment productsStrong knowledge of Valmark Operations procedures, paperwork, and processingStrong knowledge of various technologies: Microsoft Office and CRM, OnBase, MyCase, LaserApp, vendor software (Schwab and Pershing), Albridge, DST VisionStrong written and verbal communication skills, with the ability to deal effectively with various people including staff, management, vendors, and Member OfficesAbility to work in a fast-paced environment and handle multiple projects simultaneously to meet standard level service agreementsAbility to be a self-motivated, independent worker, while occasionally working effectively in a team environmentStrong analytical, problem-solving, research skillsSupervisory ResponsibilityThe Principal, Review Specialist will not have any supervisory responsibilities.Required Education and ExperienceBachelors Degree in Finance or related field or 3+ years of financial services industry experienceFINRA registration: Series 24 or requirement to obtain certification within 6 months of start dateLife and Health Insurance LicensePreferred Education and Experience5+ years of financial services industry experienceFINRA registration: Series 53 or equivalentIndustry designation (CFP, CPA, MBA)Certified in operational process improvement (Lean 6 Sigma, Kaizen)Physical DemandsThis is a largely sedentary role; however, some walking is required. Individuals may need to sit or stand as needed. This position may require walking primarily on a level surface for short periods of time.Expected Hours of WorkDays and typical hours of work are Monday through Friday, 8:30 a.m. to 5:00 p.m. Flexibility in working hours may be allowed, but the employee must work 40 hours each week to maintain full-time status.Valmark reserves the right to modify, interpret, or apply this job description in any way the Company desires. This job description in no way implies this is an all-inclusive list of responsibilities to be performed by the Employee in this position. This job description is not an employment contract, implied or otherwise. The employment relationship remains at-will.Company Description At Valmark, people are the most critical component of our long-term success and fittingly the number one reason why our employees say they love working here. Employees encourage each other to succeed and have a true desire to help our advisors and clients, defining the Golden Rule that is the very essence of our culture. We also invest in our people and challenge them to reach new goals with professional development opportunities, while allowing the flexibility of a work-life balance. Our entrepreneurial spirit fosters new ideas and ways of thinking that makes working here interesting and exciting while our management team is collaborative and transparent with a clear vision for long-term success. These things combined have made Valmark a place to find a rewarding and fulfilling career and earned us the distinction of 2020, 2021 and 2022's Top Work Places in Northeast Ohio Company Description At Valmark, people are the most critical component of our long-term success and fittingly the number one reason why our employees say they love working here. Employees encourage each other to succeed and have a true desire to help our advisors and clients, defining the Golden Rule that is the very essence of our culture. We also invest in our people and challenge them to reach new goals with professional development opportunities, while allowing the flexibility of a work-life balance. Our entrepreneurial spirit fosters new ideas and ways of thinking that makes working here interesting and exciting while our management team is collaborative and transparent with a clear vision for long-term success. These things combined have made Valmark a place to find a rewarding and fulfilling career and earned us the distinction of 2020, 2021 and 2022's Top Work Places in Northeast Ohio#J-18808-Ljbffr

by Jobble

  • Principal, Review Specialist

    4 weeks ago

    Akron, United States Valmark Financial Group Full time

    Job DescriptionJob DescriptionThe Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requirements including resolving Not in Good Order...

  • Principal, Review Specialist

    4 weeks ago

    Akron, United States Valmark Financial Group Full time

    Job DescriptionJob DescriptionJob SummaryThe Principal is primarily responsible for approving and accepting submitted paperwork as well as reviewing and approving Pershing brokerage and direct business transactions. Principal will accept business risk on behalf of Valmark within compliance guidelines and regulatory requirements including resolving Not in...

  • Purchasing Specialist

    5 days ago

    Akron, United States Country Pure Foods Full time

    Procurement Specialist Our organization is seeking a Procurement Specialist to be a part of our team. This individual will be assisting and working with contracting for assigned commodities according to departmental and organizational policies. Duties and Responsibilities Assesses requirements based on inventory levels, requirements planning, new products...

  • Purchasing Specialist

    2 weeks ago

    Akron, United States Country Pure Foods Full time

    Job DescriptionJob DescriptionProcurement SpecialistOur organization is seeking a Procurement Specialist to be a part of our team. This individual will be assisting and working with contracting for assigned commodities according to departmental and organizational policies. Duties and ResponsibilitiesAssesses requirements based on inventory levels,...

  • Tax Manager

    7 days ago

    Akron, United States Marcum LLP Full time

    Marcum LLP offers a great career with exceptional benefits. There's a lot to think about when it comes to launching your career. At Marcum, we offer you a world of opportunity, a highly competitive salary, exceptional benefits, flexible work options, and industry-leading technology, all within an environment that values your contributions and supports your...

  • Payroll Specialist

    3 weeks ago

    Akron, United States J.W. Didado Electric Full time

    The Payroll Specialist is responsible for the weekly payroll processing of the company. It includes the accurate and timely entry of payroll related items to produce paychecks in accordance with union agreements. The payroll specialist will process a high volume of payroll transactions within a relatively short window of time in order to meet required...

  • Payroll Specialist

    3 weeks ago

    Akron, United States J.W. Didado Electric Full time

    The Payroll Specialist is responsible for the weekly payroll processing of the company. It includes the accurate and timely entry of payroll related items to produce paychecks in accordance with union agreements. The payroll specialist will process a high volume of payroll transactions within a relatively short window of time in order to meet required...

  • Payroll Specialist

    3 weeks ago

    Akron, United States J.W. Didado Electric Full time

    The Payroll Specialist is responsible for the weekly payroll processing of the company. It includes the accurate and timely entry of payroll related items to produce paychecks in accordance with union agreements. The payroll specialist will process a high volume of payroll transactions within a relatively short window of time in order to meet required...

  • Technical Specialist I

    2 weeks ago

    Akron, United States Mindlance Full time

    PR:$24.63/hr Technical Specialist I - 1 Position - The position is predominately remote with potential to report on-site if needed at Akron Central Electric Lab (A-CEL). - Prior project material inventory experience recommended Program: Ohio Smart Meter Deployment - GM2 Role Description for Technical Specialist I (Material Control Specialist): The...

  • Technical Specialist I

    4 days ago

    Akron, United States Mindlance Full time

    PR:$24.63/hr Technical Specialist I - 1 Position - The position is predominately remote with potential to report on-site if needed at Akron Central Electric Lab (A-CEL). - Prior project material inventory experience recommended Program: Ohio Smart Meter Deployment - GM2 Role Description for Technical Specialist I (Material Control Specialist): The...

  • Field Risk Specialist

    4 weeks ago

    Akron, United States Datascan Technologies, LLC Full time

    Job DescriptionJob DescriptionOffering $10K Sign On Bonus Position: Field Risk Specialist - This is a Field Based Position so you will not be assigned to a local office, candidates must be located in the Akron, Ohio area. ABOUT DATASCANHeadquartered in Alpharetta, Georgia, DataScan stands at the forefront of delivering cutting-edge wholesale asset financing...

  • Strategic Inventory Specialist

    1 month ago

    Akron, United States KB BioEnergy Inc Full time

    Job DescriptionJob DescriptionBenefits:401(k)401(k) matchingCompany partiesCompetitive salaryDental insuranceHealth insurancePaid time offVision insurance We are looking for a Strategic Inventory Specialist to join our team! The Strategic Inventory Specialist role involves managing and optimizing inventory levels, control costs, preparing reports, and...

  • Payroll Specialist

    4 weeks ago

    Akron, United States Staffing Solutions Enterprises Full time

    Job DescriptionJob DescriptionPayroll SpecialistOnsite - Akron, OH Contract to Hire $18-20/hr WHY YOU WILL LOVE THIS POSITION! Benefits upon hireASAP StartPOSITION SUMMARYThe Payroll Administrator is responsible for the weekly payroll processing of the company. Itincludes the accurate and timely entry of payroll related items to produce paychecks in...

  • Technical Specialist I

    2 weeks ago

    Akron, United States Genesis Healthcare, Inc. Full time

    Genesis10 is seeking a Technical Specialist for a long-term contract position with a leading client in Akron, OH. This role pays $24.00 - 27.00 /hour W2 based on experience. This position will work remotely 90% of the time but may work onsite occasionally in Akron, OH. Job Duties: Weekly Smart Meter update of TR and SC meters by OpCo Shows percent completion...

  • Technical Specialist I

    4 days ago

    Akron, United States Genesis Healthcare, Inc. Full time

    Genesis10 is seeking a Technical Specialist for a long-term contract position with a leading client in Akron, OH. This role pays $24.00 - 27.00 /hour W2 based on experience. This position will work remotely 90% of the time but may work onsite occasionally in Akron, OH. Job Duties: Weekly Smart Meter update of TR and SC meters by OpCo Shows percent completion...

  • Project Controls Specialist

    1 week ago

    Akron, United States B&W MEGTEC Full time

    Job Description - Project Controls Specialist (2200003Y) Job Description Description Responsible for supporting all aspects of project controls and reporting for projects for the Construction Business Unit including: cost management, change control, progress measurement,schedule development, and implementation and control. Lead initial project setup...

  • RN Transfer Access Specialist

    3 weeks ago

    AKRON, United States Akron Children's Hospital Full time

    Part time24 hours per weekNight Shift Summary:An RN Transfer Access Specialist is a critical part of the Access and Navigation Center by accepting patients for Transport via “Quick Accept Guidelines” (QAG), while managing bed assignments and mobilization of the Transport Team. Responsibilities: Responsible for promoting and maintaining quality patient...

  • RN Transfer Access Specialist

    3 weeks ago

    AKRON, United States Akron Children's Hospital Full time

    Part time24 hours per weekNight Shift Summary:An RN Transfer Access Specialist is a critical part of the Access and Navigation Center by accepting patients for Transport via “Quick Accept Guidelines” (QAG), while managing bed assignments and mobilization of the Transport Team. Responsibilities: Responsible for promoting and maintaining quality patient...

  • Elementary Teacher

    5 days ago

    Akron, United States Imagine Schools Full time

    Reports to: Principal                                                                                 Position Description: Provide life skills training, literary skills and academic instruction. Essential Functions:Plan and deliver instruction using the most efficient and effective methodologyEmploy best practices...

  • Sustainability & Diversion Specialist

    2 days ago

    Akron, United States Rumpke of Ohio, Inc. Full time

    Job DescriptionJob DescriptionA Sustainability & Diversion Specialist is responsible to prospect and generate new commercial/industrial recycling business as well as retain and increase current customer business with a focus on capturing current recycling programs, increasing commercial/industrial diversion, and helping commercial/industrial accounts...