Key skills
Collaboration
About this role
Role Overview
- Participates in creating and updating written procedures and ensures manuals are current and properly distributed.
- Coordinates materials and maintains records on behalf of the Broker/Dealer and Advisory businesses.
- Prepares certifications and develops presentation materials for reporting to various boards.
- Responds to compliance inquiries, proactively recommends solutions, and serves as a system administrator for various compliance tools.
- Participates in special projects and performs other duties as assigned.
Requirements
- Minimum of three years of Broker/Dealer experience
- Regulatory, compliance, investment, or auditing experience preferred
- Undergraduate degree or an equivalent combination of education and experience
- Series 7 license or the ability to obtain it within 120 days
- Experience preparing presentations is a plus
Benefits
- hybrid working model
- collaboration and connection
- learning and development opportunities