Investigation Compliance Specialist

6 days ago


South Jordan, Utah, United States ASK Consulting Full time
Job Overview

We are seeking a highly skilled Investigation Compliance Specialist to join our team at ASK Consulting. As a key member of our Client Relations department, you will play a critical role in ensuring Firm compliance with regulations governing the handling of Operational Client Complaints.

Key Responsibilities:

  • Support written Client Relations/Senior Investor inquiries and concerns to ensure Firm compliance with regulations.
  • Collaborate with branches and Operational business partners to investigate, research, and resolve assigned cases in a formal written format.
  • Handle various operational responsibilities within Client Relations, including Settlement processing, Privacy Opt Out processing, and incoming telephone calls.
  • Perform other projects as assigned on an as-needed basis.

Requirements:

  • Excellent grammar and composition skills.
  • Excellent written and oral communication skills.
  • Preferred candidates will possess a bachelor's degree in English or a Communication-related discipline.
  • The ideal candidate will have knowledge and some level of expertise in the brokerage industry or banking operations.
  • Strong initiative and drive.
  • Proficiency in Microsoft Word and Outlook programs.
  • Proven ability to work effectively with all levels of employees.
  • Exceptional phone presentation skills.
  • Able to perform efficiently in a fast-paced, changing environment while handling a wide variety of tasks.
  • Strong organizational skills, attention to detail, and excellent follow-up skills.
  • Ability to be self-motivated and succeed in a team atmosphere.

About ASK Consulting:

ASK Consulting is an award-winning technology and professional services recruiting firm servicing Fortune 500 organizations nationally. With 5 nationwide offices, two global delivery centers, and employees in 42 states, ASK Consulting connects people with amazing opportunities.

ASK Consulting is an equal opportunity employer. We celebrate diversity and are committed to creating an inclusive environment for all associates.



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