Location
Winter Park, FL | United States
Job description
Responsible for supporting compliance routines and initiatives as it relates to the Broker-Dealer business. Provides day-to-day compliance support, responding to questions and clarifying policy. Processes and performs certain specific compliance review functions on a daily/weekly/monthly basis as assigned by management.
- Maintains desk level procedures for paper statement review, business card approvals, data feed maintenance, personal brokerage account approvals, social media review, electronic communications and others as needed.
- Responsible for reconciling internal systems from termination reports as a checks and balance for Registrations and Licensing
- Complete employee social media and google reviews
- Creates and Formats documents for management meetings
- Monitors the Compliance mailbox (SFI [email protected])
- Support Senior Management projects; provide administrative assistants where needed
- Support department training initiatives; track and reconcile training completion
- Create and support employee certifications; facilitate and reconcile completions
- Assist and maintain procedures and logs with procedure amendments.
- Serves as backup to other team members
- Respond to employee inquiries as it pertains to compliance systems and training
- Any other items delegated by manager and/or CCO.
- Bachelor’s degree or equivalent financial industry experience
- FINRA SIE and Series 7 required within one year of hire
- Ability to work independently
- Strong analytical and problem-solving skills
- Excellent written and verbal communication skills
- Strong research/investigative skills
- Proficient in MS Office products with focus on Excel
- Able to develop positive and productive relationships with business line partners (sales, support and management)
- Ability to effectively prioritize and multi-task in a fast-paced environment
- Able to lead by example in professional and ethical manner
- Must be available for travel as needed
Job tags
Salary
