Associate Analyst

Location: Fort Mill, SC, Tempe, AZ, San Diego, CA – 3 days on site per week

About the role

This position requires a professional to support compliance functions within a financial services environment. The role involves reviewing regulatory disclosure items, ensuring adherence to standards, and maintaining meticulous records. The specialist will interact with representatives to gather information and ensure all processes are correctly followed and documented.

Responsibilities

• Review and approve regulatory disclosure items for registered representatives.
• Follow up as needed to obtain additional information from representatives.
• Navigate through various online systems and compliance tools.
• Analyze responses to determine when additional follow-up or escalation is necessary.
• Prioritize and manage multiple requests effectively.
• Maintain excellent records and documentation of all activities.
• Provide a high level of customer service to internal stakeholders.

Benefits

• Medical, dental, vision, life, and disability insurance plans.
• Employee Stock Purchase Program (ESPP).
• 401K program with company match after 12 months of tenure.
• Health Savings Account (HSA) on the HDHP plan.
• SupportLinc Employee Assistance Program (EAP) with up to 8 free counseling sessions.
• Corporate discount savings program and other discounts.
• On-demand training program and access to certification prep, technical and leadership courses, books, and seminars after 6+ months of tenure.
• Certification discounts and perks for associations including CompTIA and IIBA.
• Dedicated customer service team and a certified Career Coach.