What are the responsibilities and job description for the Compliance Specialist in Wealth Management position at Get It Recruit - Finance?
Description
This is a fantastic opportunity for a Compliance Specialist to join a thriving wealth management firm dedicated to delivering top-notch investment and financial planning services. In this role, you will ensure compliance with all regulatory requirements while supporting our advisors and clients.
As a Compliance Specialist, you will manage our compliance processes, including overseeing employee onboarding and offboarding, handling FINRA U-4 and U-5 filings, and maintaining up-to-date compliance records. You'll work closely with various departments to support regulatory adherence and contribute to the firm's overall efficiency and growth.
Key Responsibilities
This is a fantastic opportunity for a Compliance Specialist to join a thriving wealth management firm dedicated to delivering top-notch investment and financial planning services. In this role, you will ensure compliance with all regulatory requirements while supporting our advisors and clients.
As a Compliance Specialist, you will manage our compliance processes, including overseeing employee onboarding and offboarding, handling FINRA U-4 and U-5 filings, and maintaining up-to-date compliance records. You'll work closely with various departments to support regulatory adherence and contribute to the firm's overall efficiency and growth.
Key Responsibilities
- Partner with team members to create a smooth compliance experience for both advisors and clients.
- Oversee the onboarding and offboarding processes for employees, including managing FINRA U-4 and U-5 filings.
- Keep compliance records current, including insurance licenses for the firm and producers.
- Review and approve employee disclosures related to social media and brokerage accounts.
- Support new advisor teams during their onboarding and assist with various compliance projects.
- Coordinate the distribution of exam study materials and manage exam scheduling for employees.
- Address and resolve compliance support cases in a timely manner.
- Develop and maintain clear compliance desk procedures.
- At least 3 years of experience in a professional office setting, ideally within wealth management or a related field.
- Experience with registered investment advisors or broker-dealers is preferred.
- Strong written and verbal communication skills with keen attention to detail.
- Proficiency in Microsoft Office.
- Basic understanding of SEC and FINRA regulations.
- Experience with broker-dealer operations is a plus.
- Contract Length: 3 months (Support needed during a busy period)
- Hours: 9 AM - 5 PM
- Enjoy the flexibility of remote work while contributing to a leading wealth management firm.
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