Job Description

The Compliance Operations Contractor plays a key role in developing an efficient system to track and monitor regulatory requirements related to associates’ personal securities. Additionally, this role supports the Compliance Director by managing various administrative tasks within Compliance Operations.

Key Responsibilities

What will you do in this role?

• Monitor and track regulatory disclosure reports related to personal securities accounts.
• Communicate with associates to collect information regarding their accounts.
• Prepare and send 3010 Letters to external brokerage firms.
• Review and process paper statements from outside brokerage accounts.
• Consolidate disclosed accounts and coordinate with firms to link additional accounts to the data feed.
• Provide insights to Compliance Officers and the Compliance Director to help shape company policies on personal securities accounts.
• Participate in bi-weekly Compliance Operations Team meetings.
• Conduct in-depth analysis of data collected from disclosed accounts.
• Assist in enhancing the Compliance Portal by improving forms and workflows.
• Generate reports and support data metrics related to personal securities accounts
• Perform other duties as assigned.

Education:

• High school diploma or equivalent required; college degree preferred.

Experience:

• Experience in financial services or the insurance industry preferred.
• Background in branch office operations or office management is a plus.

Knowledge, Skills, and Abilities:

• Proficiency in Microsoft Word and Excel.
• Strong attention to detail.
• Excellent verbal and written communication skills.
• Ability to manage multiple projects simultaneously with moderate supervision.

We are an Equal Opportunity Employer committed to a diverse and inclusive workplace. All qualified applicants will receive consideration for employment without regard to race, color, religion, sex, sexual orientation, age, gender identity, national origin, disability, or veteran status. We value diverse perspectives and actively seek to create an inclusive environment that celebrates the unique qualities of all employees.

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