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Compliance Associate

1 month ago

Erie, United States HBKS Wealth Advisors Full time
Title: Compliance Associate

Location: Erie, PA

HBKS Wealth Advisors (HBKS), an independent personal financial planning and wealth management firm with offices in four states, 14 locations, and approximately $6 billion in assets under management. HBKS Wealth Advisors is part of the HBK CPAs and Consultants (HBK) family of companies; HBK is a top 50 accounting and business consulting firm. As an industry leader and innovator, HBKS is investing in resources and technology to ensure long-term growth.

Growth requires talent, so we continue to seek capable, dedicated professionals in all aspects of financial services. Our people choose their own career paths. We want you to excel in your career as part of a dynamic team, and we provide the support and the resources to help you succeed. The breadth and depth of experience we offer you is unique in the marketplace.

We are entrepreneurs working with entrepreneurs, owners working with high-net-worth individuals and those who are owners of small and mid-size businesses, the heartbeat of our country. We are consultants, influencers in our communities as well as our clients and their finances. When we go home at night, we know we've made something happen for our clients. If you want a career that is all about helping people, you're the kind of person we're looking for. Please read on to discover if you could see yourself joining the HBKS Wealth Advisor Family as our newest Compliance Associate.

SUMMARY

The Compliance Associate works with the Chief Compliance Officer and Compliance Supervisor in connection with performing the compliance functions of HBKS Wealth Advisors.

QUALIFICATIONS

  • Pursue and complete compliance licensing requirements of SIE, Series 7, 66 and 24 FINRA exams.
  • Education and experience in finance related fields is a plus.
  • Great attention to detail.
  • Ability to always maintain independence and objectivity.
  • Be prompt, efficient and complete when carrying out all tasks.
  • Maintain strict confidentiality of all client and firm.
  • Demonstrates a strong commitment to the firm.
  • Excellent organizational skills.
  • Ability to work with others in a positive and constructive manner to promote compliance with firm policies and procedures, and applicable regulations and laws.
RESPONSIBILITIES
  • High level attention to detail and analytical skills.
  • Ability to maintain independence and objectivity at all times.
  • Be prompt, efficient and complete when carrying out all tasks.
  • Maintain strict confidentiality of all client and firm business.
  • Demonstrates a strong commitment to the firm.
  • Excellent organizational sills.
  • Ability to work with others in a positive and constructive manner to promote compliance with firm policies and procedures, and applicable regulations and laws.
  • Assist with compliance functions of the HBKS Wealth Advisors offices in Pennsylvania, Ohio, New York, New Jersey and Florida.
  • Assist with requests from regulators and examiners.
  • Maintain the firm name in the public through community involvement and participation in business, civic and professional activities.
Every employee works for HBKS Wealth Advisors, not just for a particular Managing Principal or department. Accordingly, employees are expected to act in the best interests of the firm, even if doing so requires actions or responsibilities not listed in the above job description. This job description is subject to revision by management when client service needs change.

BENEFITS WE OFFER:
  • Competitive Compensation
  • Anniversary Bonus
  • We provide a flexible work environment to offer work/life balance.
  • 401(k) plan with company match and profit sharing
  • Medical, dental, and vision insurance
  • Company Paid Life Insurance
  • Affordable Short- & Long-Term Disability Insurance
  • Affordable Accidental and Critical Illness Insurance
  • 5 Paid holidays
  • Disability Insurance
  • Tuition Reimbursement
  • Annual Performance Reviews
  • And Much More...


HBKS provides equal employment opportunities to all employees and applicants for employment and prohibits discrimination and harassment of any type without regard to race, color, religion, age, sex, national origin, disability status, genetics, protected veteran status, sexual orientation, gender identity or expression, or any other characteristic protected by federal, state, or local laws.

This policy applies to all terms and conditions of employment, including recruiting, hiring, placement, promotion, termination, layoff, recall, transfer, leaves of absence, compensation, and training.