Compliance Specialist
Job Description
A client's Registrations team is seeking Compliance Specialists to support the strategy and execution of a new department, a new introducing broker dealer clearing department. This individual will have excellent customer service and processing skills as it pertains to servicing the various registrations needs of our Clients and Business Partners. This role is hybrid; once a week onsite in either San Diego, Fort Mill or Tempe.*Job Overview: *
This position will be responsible for the processing of the securities registration/licensing of Advisors. Duties include providing outstanding customer service to advisors through written correspondence, email, and at times over the phone. Daily tasks include data entry in Oracle, FINRA Web CRD.
Responsibilities:
* Processing advisor requests, state registrations, exam requests and other registration requests.
* Perform processing duties such as data entry, generating letters, processing new advisor paperwork and maintenance of advisor registration and insurance licensing.
* Learning and becoming proficient with understanding FINRA and State Registrations rules and how it pertains to departmental functions.
* Assisting partner departments with questions and workflow.
* Ensuring regulatory compliance on owned processes.
* Accurate and speedy data entry.
*Qualifications:*
* High School Diploma or GED Equivalency required, Bachelors degree is preferred.
* At least 1 year relevant experience in financial services, insurance, or a related financial organization is required.
* Proficiency with Microsoft Office suite such as Excel.
* Ability to handle multiple tasks in a high-volume and fast past environment.
* Strong attention to detail and prioritization of tasks.
* Ability to work independently be it remotely or in an office environment.
* Adept, quickly able to adjust as business needs demand.
* Excellent Customer Service is required for communicating with stakeholders.
*Additional Skills & Qualifications*
Ideally looking for candidates from Broker Dealers, RIAs. or other Investment Services. This is a bonus but not a requirement.
*Pay and Benefits*
The pay range for this position is $20.00 - $23.00
Eligibility requirements apply to some benefits and may depend on your job classification and length of employment. Benefits are subject to change and may be subject to specific elections, plan, or program terms. If eligible, the benefits available for this temporary role may include the following:
* Medical, dental & vision
* Critical Illness, Accident, and Hospital
* 401(k) Retirement Plan - Pre-tax and Roth post-tax contributions available
* Life Insurance (Voluntary Life & AD&D for the employee and dependents)
* Short and long-term disability
* Health Spending Account (HSA)
* Transportation benefits
* Employee Assistance Program
* Time Off/Leave (PTO, Vacation or Sick Leave)
*Workplace Type*
This is a hybrid position in San Diego,CA.
*Application Deadline*
This position will be accepting applications until Jan 1, 2025.
About TEKsystems:
We're partners in transformation. We help clients activate ideas and solutions to take advantage of a new world of opportunity. We are a team of 80,000 strong, working with over 6,000 clients, including 80% of the Fortune 500, across North America, Europe and Asia. As an industry leader in Full-Stack Technology Services, Talent Services, and real-world application, we work with progressive leaders to drive change. That's the power of true partnership. TEKsystems is an Allegis Group company.
The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law.
*Please mention you saw this ad on LGBTInHigherEducation.*
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