Compliance Specialist

We're seeking a Compliance Specialist to support our firm's Compliance Program. The ideal candidate will have a strong working knowledge of brokerage and investment advisory business concerning the regulatory framework in which they operate.

Requirements

• Develop and manage a Compliance Department activity reporting system.
• Represent the compliance department in resolving issues involving new accounts set up with Operations and Accounting departments.
• Monitor general department email inboxes and/or department ticketing system reports to assure timely response or escalation if necessary to inquiries and information received.
• Provide support, education, and guidance to Financial Representatives and their staff as it relates to business processes, firm policies and procedures, industry rules, and other general inquiries.
• Assist management and other compliance personnel with the completion of various projects and testing.

Benefits

• 401(k) with Employer Match
• Health Insurance (with HSA option)
• Dental Insurance
• Vision Insurance
• Life Insurance
• Flexible Paid Time Off Policy
• Flexible Spending Account (FSA)
• Healthy Work/Life Balance
• Maternity/Paternity Leave Policy
• Remote Work Opportunity