Compliance Consultant (Remote - CST Hours)

Responsibilities

• Review investment transactions, including new accounts, subsequent transactions, and trade activity, to ensure compliance with regulatory requirements and company policies
• Support financial advisors and clients through inbound phone support
• Evaluate transactions for compliance with internal policies and industry regulations
• Monitor trading activity and identify potential compliance concerns
• Provide guidance to advisors regarding compliance requirements and transaction processing
• Research and resolve compliance-related inquiries in a timely manner
• Maintain accurate documentation and records of compliance reviews
• Collaborate with internal teams to ensure consistent application of compliance standards
• Utilize internal systems and documentation to support transaction reviews and regulatory compliance
• Participate in ongoing training to maintain knowledge of industry regulations, products, and company policies
• Contribute to continuous process improvements that enhance compliance operations and customer experience

Requirements

• Bachelor's degree
• 2-3 years of experience in the financial services industry
• Active FINRA Series 7 and Series 24 registrations, or Series 9 and Series 10 registrations
• Experience reviewing investment transactions or financial account activity
• Strong customer service and client support skills
• Strong analytical and critical thinking abilities
• Excellent attention to detail and accuracy
• Strong verbal and written communication skills
• Ability to learn complex regulatory requirements and apply them effectively
• Ability to work independently with a strong sense of ownership and accountability
• Proficiency with Microsoft Word, Excel, Adobe Acrobat, and SharePoint

Preferred Qualifications

• Experience with advertising compliance