associate staffingRock Hill, SC
Registrations and Compliance Specialist
Registrations and Compliance Specialist
Registrations and Compliance Specialist
associate staffingRock Hill, SC
3 days ago
Regulatory Affairs SpecialistsCompliance OfficersSecurities, Commodities, and Financial Services Sales Agents
Insurance Agencies and BrokeragesMiscellaneous Financial Investment ActivitiesPortfolio Management and Investment Advice
Apply for this role →The Company:
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing:
This role is part of the Compliance and Registrations team working to support back-office, behind-the-scenes processing work.
Ideal Candidate:
We’re seeking collaborative, service-oriented professionals who thrive in fast-paced environments. Success in this role requires excellent communication skills, and attention to detail. What You Can Expect: Growth Opportunities: You'll receive consistent coaching and feedback with opportunities to expand your licensing and grow into more senior roles.
Requirements:
- 1-2 years of relevant experience Broker-Dealer experience is strongly preferred Prior Registrations experience and/or anything related to Insurance Strong written and verbal communication skills
- Quick learner with ability to adapt in a dynamic environment
- Excellent multitasking, attention to detail, and follow-up skills
- Solid problem-solving abilities
- Day to Day Responsibilities: Cross-functional support / BAU work
- Rotating and cross-training across operational processes
- Compliance & Registration Tasks: Submissions and updates to FINRA and U4
- Internal data and record updates
- Insurance appointments processing
- Data & Reporting Work: Data mapping and spreadsheet reviews for CNF
- Data collection and validation
- Operations Processing: Back-office, behind-the-scenes processing work
Technical Skills: Excel proficiency preferred: Strong with VLOOKUPs and formulas
Equal Opportunity Employer:
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.
Also on the board Same function, level within a rung
Level
Junior
Location
Rock Hill, SC
Occupation
Regulatory Affairs Specialists
Industry
Insurance Agencies and Brokerages
Posted
3 days ago