Compliance Professional
4 days ago
Company Overview
">Trilogy Financial is a nationwide firm with a long history of providing sound financial solutions to clients across the country. Our team of over 130 employees is committed to building strong relationships and delivering exceptional service.
">Salary and Benefits
">We offer a competitive salary range of $25-$28 per hour, along with a comprehensive benefits package that includes health, dental, and vision insurance, life and disability coverage, paid time off, and holidays.
">Job Description
">The Compliance Associate will play a key role in ensuring the firm operates in a compliant manner by performing administrative tasks related to policies and procedures. This includes organizing and maintaining files, utilizing Compliance software, and communicating with internal departments.
">Essential Duties / Responsibilities
">- ">
- Maintain compliance-related programs, including Attestation Program and Advisor Disclosures for Investment Advisors Representatives.">
- Billing calculations and reviewing fee files for all our Custodians and Consulting Agreements.">
- Coordinate employee background checks and terminations from registered entities.">
- Assist with the creation and implementation of workflows and procedures.">
- Assist Chief Compliance Officer (CCO) with various duties.">
Requirements and Qualifications
">To be successful in this role, you will need:
">- ">
- A high school diploma or equivalent.">
- Proficient in Microsoft Office: Word, Excel, PowerPoint, Outlook.">
- Strong attention to detail and organizational skills.">
- Ability to take initiative and problem-solve.">
- Excellent communication and collaboration skills.">
- Demonstrated professionalism and understanding of confidentiality.">
Preferred Skills and Qualifications
">The following skills are preferred but not required:
">- ">
- Knowledge of RIA, B/D, and Life Insurance lines of business.">
- Salesforce, Practifi, Orion, Docupace experience.">
- Bilingual: Spanish, Chinese, is a plus.">
- Series 7, 66 (or 63 & 65) and 24.">
Work Environment
">This job operates in a professional office environment, requiring prolonged periods of sitting or standing at a desk and working on a computer.
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