- Salary
- $27 – $35/hr
- Location
- Des Moines, IA
- Department
- Legal
- Seniority
- Entry
- Education
- Bachelor
- Source
- Paylocity
Description
Description
Non-exempt
Specific job duties include, but are not limited to:
- Providing relationship management services to financial professionals by phone, via email, and in person
- Entering and tracking advertising and correspondence submissions via communications review tool
- Monitoring financial professional communications and activities, including annual compliance questionnaires, firm element training, and securities registration renewals
- Managing the broker dealer onboarding process for internal and network office staff members
- Triaging the supervision team email inbox
- Maintaining associated compliance records in Salesforce CRM
- Assisting with external audit preparation and follow-up tasks
- Reassigning orphan accounts; establishing the correct codes associated with the assignment as needed
Requirements
Qualifications:
- Bachelor's degree or equivalent experience required; finance or business-related degree preferred
- Broker-Dealer, RIA, and/or OSJ office financial services experience preferred; basic understanding of financial industry regulations highly desired
- Familiarity with Salesforce CRM system a plus
- Strong organizational and time management skills required
- Ability to work both independently and with a team
- Aptitude for completing tasks within structured deadlines
- Excellent oral and written communication skills required
- Strong attention to detail with the ability to work efficiently & accurately
- Registration is not required for this role; Series 7, 24, and 65/66 registrations will be required for certain advancement opportunities
Physical Requirements:
- Standing or sitting for extended periods of time in an office environment
- Working on a computer for extended periods of time
- Lifting up to 15 pounds
Skills
SalesforceCompliance
