Regulatory Compliance Specialist
4 weeks ago
Bishop Gold Group is seeking a diligent and analytical
Regulatory
Compliance Specialist
to support our growing Sales team in our West LA office. This person will be instrumental in ensuring that our Sales representatives are adhering to all company and legal guidelines while they are conducting phone calls. The primary duty of this role is listening to and auditing a high volume of phone calls/conversations, and immediately correcting and documenting any findings, while ensuring company compliance with relevant laws and regulations.
Must have relevant experience auditing calls/conversations and marketing materials in a Financial Services and/or Call Center environment, and familiarity with SEC/FTC rules and regulations.
Duties:Listen to and audit a high volume of phone callsDocument, report and correct noncompliant behavior directly to Sales management/representativesStay up-to-date and familiar with company and legal policies, SEC/FTC rules and regulations and new legislation and political newsReport findings and solutions to management
Preferred Qualifications:1+ year in a similar roleFamiliar with SEC/FTC rules and regulationsSalesforce CRM experienceHighly analytical and detail orientedAble to use sound judgment and work independently, with minimal supervisionExcellent interpersonal, oral, and written communication skills
Perks:Health benefits and company matched 401kAccrued paid time offFriendly office culture and atmosphere. Coffee bar, snacks, occasional lunchesPotential for advancement for the right candidate
Physical Demands:Must be able to remain in a stationary position at least 50% of the timeConstantly operates a computer and other office productivity machinery, such as a calculator, copy machine, and computer printerMust be able to effectively communicate with co-workers, vendors and other third-parties
Hours of operation are Monday through Friday, 7:00 am - 4:00pm PST.
Equal Opportunity Employer
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