We are seeking a Compliance Associate who has experience in Broker-Dealer and RIA back-office operations or compliance in addition to being able to analyze data and recognize breaches of policies and procedures.
Responsibilities:
· Responsible for assisting in the daily oversight of team personnel, workflow, processing procedures and problem resolution
· Assist with the review and analysis of productivity, service levels and processing procedures to ensure company goals, regulatory requirements and service standards are met
· Continually seek out and implement efficiencies and service/process improvements.
Actively analyze problems, determine causal factors and implement corrective actions.
Exercise strong problem solving and decision-making skills
· Complete daily processing of Broker Dealer and RIA business in a timely fashion
· Provide exceptional customer service and operational support to clients, field Reps and other business areas via email and telephone
· Assist with quality control checks and review procedures to ensure compliance with company policies and procedures.
Recommended Skills and Experience:
· Bachelor’s Degree in a business-related field
· Series 7 required
· At least 3 years of industry experience
· Attention to detail and accuracy
· Strong organizational skills
· Ability to multi-task effeciently
· Knowledge of Broker-Dealer and RIA operations, including new account, transfer of accounts and cashiering functions
· Working knowledge of FINRA, SEC, IRS, MSRB and ERISA rules & regulations as they apply to both Broker Dealers and registered investment advisors
· Outstanding interpersonal skills when interacting with clients, field Reps and other stakeholders
· Knowledge of custodial platforms: Pershing – Schwab – TD Ameritrade
· Ability to work independently in a fast-paced and complex environment
· Advanced proficiency with MS Office applications (Word, Excel, PowerPoint, Access) Benefits:
· Competitive salary
· Health/dental/vision/life insurance
· 401(k) with company match
· Paid time off
· Job Type: Full-time