Compliance Associate
1 week ago
Key Responsibilities:
* Provide relationship management services to financial professionals by phone, via email, and in person
* Enter and track advertising and correspondence submissions via communications review tool
* Monitor financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals
* Serve as a point of contact for the recruiting and transition teams, including handling questions regarding contracting, compliances, licensing, commissions, and services
* Maintain associated compliance records in Salesforce CRM
* Review electronic communications
* Assist with external audit preparation and follow-up tasks
* Identify opportunities for financial professionals to use our company's services
* Reassign orphan accounts to financial professionals; establish the correct codes associated with the assignment as needed
Requirements:
* Bachelor's degree or equivalent experience required; finance or business-related degree preferred
* Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired
* Familiarity with Salesforce CRM system a plus
* Strong organizational and time management skills required
* Ability to work both independently and with a team
* Aptitude for completing tasks within structured deadlines
* Excellent oral and written communication skills required
* Strong attention to detail with the ability to work efficiently & accurately
* Licensing is not required for this role; Series 7/24 licenses will be required for certain advancement opportunities
Physical Requirements:
* Standing or sitting for extended periods of time in an office environment
* Working on a computer for extended periods of time
* Lifting up to 15 pounds
If you are a motivated and detail-oriented individual who is passionate about compliance and regulatory affairs, we encourage you to apply for this exciting opportunity. We offer a competitive compensation package, a full suite of benefits, free parking, a flexible work environment, and the potential to advance to a compliance supervisory role for the right candidate. Apply today
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