Job Title: Compliance Specialist
We are seeking a highly skilled Compliance Specialist to join our team. In this role, you will be responsible for participating in support services related to account management, operations, documentation, customer service, and technical support.
Key Responsibilities:
* Identify opportunities for process improvement within the customer support area.
* Review routine technical issues requiring research, application or service evaluation, product conversions, and new product development.
* Present recommendations for resolving moderate to complex issues and exercise independent judgment while understanding customer needs.
Required Qualifications:
* 2+ years of experience in Customer Service, Financial Services, or Contact Center, or equivalent demonstrated through work experience, training, military service, or education.
Must-Haves:
* Brokerage or Financial experience, specifically in a brokerage environment working with financial advisors or traders.
* Licensed with FINRA, familiar with SIE or other licenses.
* Finance degree is a plus.
* Interest in building a career in brokerage is a plus.
Benefits:
* 30 days of onsite training, then a hybrid model of 5 days onsite/5 days remote.
* Monday-Friday, 7:30am-4:00pm.
About Us:
We are an equal opportunity employer that recruits and hires qualified candidates without regard to race, religion, sex, sexual orientation, gender identity, age, national origin, ancestry, citizenship, disability, or veteran status.