Responsible for ensuring risk and compliance standards are developed and followed in contact center
Participates in initiatives, projects, and oversight activities to enhance quality and efficiency of contact center
Provides analytical oversight for business product lines
Reviews and ensures compliance with annual procedure audits
Applies understanding of internal controls to help identify and mitigate risk
Gathers data to inform operational results and areas of key risk and business oversight
Communicates with clients or internal staff to process adjustments for client trading and reporting while maintaining compliance standards
Provides oversight for overall trading activity for department
Identifies, coordinates, develops, and deploys moderately complex Learning and Development programs that support more junior contact center team members in obtaining licensing
Reviews contact center licensing processes, policies, and procedures and provides insight into the efficiency and effectiveness of delivered solutions
Requirements
Bachelor's degree or the equivalent combination of education and relevant experience
2+ years of total relevant work experience
SIE, Series 7, Series 63, Series 24, and on an as-needed basis, will support Series 4 and/or Series 52 and Series 53 licenses
2 – 3 years Financial Services experience preferred
Successfully manage a high volume of tasks with tight deadlines, ensuring timely completion of deliverables
Benefits
Competitive compensation
Annual bonus eligibility
A generous retirement plan
Hybrid work schedule
Health and wellness benefits, including online therapy
Paid time off for vacation, illness, medical appointments, and volunteering days
Family care resources, including fertility and adoption benefits