Compliance Associate
M.
S.
Howells & Co is seeking a Compliance Associate to join our Firm.
In this role, you will be responsible for assisting in tasks relating to all business, compliance, and regulatory requirements as it pertains to all activities of Registered Representatives.
Responsibilities:
Assist with Compliance Department tasks, including tasks associated with reviewing, monitoring, and approving all processes for new account applications, new direct business applications, and ongoing transaction exception reports for broker-dealer transactions to ensure accordance with all Firm, compliance, and regulatory requirements in a timely fashion.
Continually seek out and implement efficiencies and service/process improvements.
Actively analyze problems, determine causal factors, and implement corrective actions.
Exercise strong problem-solving and decision-making skills.
Troubleshoot reports and other system applications as needed.
Help implement firm initiatives, especially as it relates to efficiencies in the Compliance Department.
Assist with the administrative tasks of the compliance department, as needed.
Recommended Skills and
Experience:
2 - 3 years of industry experience Knowledge of Broker-Dealer, including new account and transfer of accounts Bachelors Degree in a business-related field preferred Series 7 required Knowledge of RIA operations preferred Working knowledge of FINRA and SEC regulations preferred Preferred knowledge of custodial platforms:
Pershing Schwab TD Ameritrade Outstanding interpersonal skills when interacting with clients, Registered Representatives, and other stakeholders Ability to work independently in a fast-paced and complex environment Ability to multi-task, strong attention to detail, excellent problem-solving, and follow-up skills are essential for this position Advanced computer skills:
MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
Ability to independently organize, prioritize, and manage time with minimal supervision and guidance from management.
Benefits:
Competitive salary Health/dental/vision/life insurance 401(k) with company match Paid time off Job Type:
Full-time Recommended Skills Adobe Acrobat Attention To Detail Corrective And Preventive Action (Capa) Decision Making Financial Industry Regulatory Authorities Interpersonal Skills Estimated Salary: $20 to $28 per hour based on qualifications.
S.
Howells & Co is seeking a Compliance Associate to join our Firm.
In this role, you will be responsible for assisting in tasks relating to all business, compliance, and regulatory requirements as it pertains to all activities of Registered Representatives.
Responsibilities:
Assist with Compliance Department tasks, including tasks associated with reviewing, monitoring, and approving all processes for new account applications, new direct business applications, and ongoing transaction exception reports for broker-dealer transactions to ensure accordance with all Firm, compliance, and regulatory requirements in a timely fashion.
Continually seek out and implement efficiencies and service/process improvements.
Actively analyze problems, determine causal factors, and implement corrective actions.
Exercise strong problem-solving and decision-making skills.
Troubleshoot reports and other system applications as needed.
Help implement firm initiatives, especially as it relates to efficiencies in the Compliance Department.
Assist with the administrative tasks of the compliance department, as needed.
Recommended Skills and
Experience:
2 - 3 years of industry experience Knowledge of Broker-Dealer, including new account and transfer of accounts Bachelors Degree in a business-related field preferred Series 7 required Knowledge of RIA operations preferred Working knowledge of FINRA and SEC regulations preferred Preferred knowledge of custodial platforms:
Pershing Schwab TD Ameritrade Outstanding interpersonal skills when interacting with clients, Registered Representatives, and other stakeholders Ability to work independently in a fast-paced and complex environment Ability to multi-task, strong attention to detail, excellent problem-solving, and follow-up skills are essential for this position Advanced computer skills:
MS Office Suite proficiency (Strong skills in Microsoft Excel, Word & Adobe Acrobat).
Ability to independently organize, prioritize, and manage time with minimal supervision and guidance from management.
Benefits:
Competitive salary Health/dental/vision/life insurance 401(k) with company match Paid time off Job Type:
Full-time Recommended Skills Adobe Acrobat Attention To Detail Corrective And Preventive Action (Capa) Decision Making Financial Industry Regulatory Authorities Interpersonal Skills Estimated Salary: $20 to $28 per hour based on qualifications.
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