GENERAL SUMMARY OF DUTIES AND RESPONSIBILITIES
Ensures that all of the employees and officers comply not only with Securities and Exchange Commission (SEC) regulations, but also Financial Industry Regulatory Authority (FINRA) rules. Provides audit information to management by researching and analyzing data; preparing reports: as necessary
JOB DUTIES |Responsibilities
- Prepares compliance audit data by compiling and analyzing internal and external information.
- Supports departments by collecting and coordinating internal compliance data with auditors and various departments.
- Provides administrative support by implementing systems, procedures, and policies; completing projects in support of compliance auditors.
- Helps others by answering questions and responding to requests.
- Complies with federal, state, and local legal requirements by studying existing and new legislation; enforcing adherence to requirements; advising management on needed actions.
- Updates job knowledge by participating in educational opportunities; reading professional publications.
- Enhances compliance department and organization reputation by accepting ownership for accomplishing new and different requests; exploring opportunities to add value to job accomplishments
- Prepares and Attends onsite SEC audit
Knowledge, Skills & Abilities:
- Strong organizational skills and attention to detail
- Ability to demonstrate persistence to achieve quality
- Excellent communication – both verbal and written
- Self-directed initiative
- Process driven
- Prior experience working in financial industry
- Highly organized with strong follow-through
- Ability to prioritize day-to-day tasks and issues
- Resourceful in problem resolution
- Phenomenal phone skills and ability to build trust with clients
- Operate with a proactive approach when dealing with advisor and clients
- Experience working in a fast-paced environment
- Ability to prioritize projects and manage time
- Attention to detail
· Previous experience in processing confidential paperwork
· Previous client interaction in an office environment
· Intermediate to advanced computer skills
· Insurance licensing strongly preferred and Series 65 (preferred)
· Enjoy completing and processing with paperwork
· Highly organized
· Willing to work as part of a team
Job Type: Full-time
Salary: $40,000.00 to $65,000.00 /year
- Series 66
- Series 6
- Life and Health Insurance