Compliance Specialist

Compliance Specialist

Location: 100% Remote - Will be working on EST or CST time.

Industry: Wealth Management

Pay: $30 - $35/hr

About Our Client:

Our client is a reputable firm in the wealth management sector, committed to providing comprehensive investment and financial planning services. They are currently expanding their team and looking for a Compliance Specialist who can ensure that all regulatory requirements are met while supporting the firm's advisors and clients.

Job Description:

The Compliance Specialist will be responsible for managing compliance processes related to employee onboarding and offboarding, handling FINRA U-4 and U-5 filings, and maintaining the firm's compliance records. This role involves working closely with various departments to ensure regulatory adherence and support the firm's growth and operational efficiency.

Key Responsibilities:

• Collaborate with team members to provide a seamless compliance experience for advisors and clients.
• Manage the onboarding and offboarding process for employees, including handling FINRA U-4 and U-5 filings.
• Maintain and update compliance records, including firm and producer insurance licenses.
• Review and approve various employee disclosures, such as social media and brokerage accounts.
• Support the onboarding of new advisor teams and assist with compliance-related projects.
• Coordinate the distribution of exam study materials and manage exam windows for employees.
• Handle and resolve compliance support cases efficiently, ensuring timely responses.
• Develop and maintain compliance desk procedures.

Qualifications:

• Minimum of 3 years of experience in a professional office environment, preferably in wealth management or a related industry.
• Previous experience working with a registered investment advisor and/or broker-dealer.
• Strong written and verbal communication skills, with a high attention to detail.
• Proficiency in Microsoft Office applications.
• Foundational understanding of SEC and FINRA regulations.
• Experience with broker-dealer operations is a plus.

Additional Details:

• Contract Length: 3 months+, need help during busy time
• Hours: 9 AM - 5 PM

Perks:

• Opportunity to work remotely while supporting a leading wealth management firm.
• Gain valuable experience in compliance within a dynamic industry.