Entry-level Compliance Specialist
Employee is responsible for monitoring and providing business support on a variety of complex regulatory and legal procedures.
Essential Job Functions:
- Manage a case load of communications by obtaining relevant and requested books and records, utilizing investigative skills and knowledge of the securities industry to research, analyze, and resolve a variety of issues.
- Ensure that the results and relevant documentation are sent to the appropriate parties along with timely, accurate, and complete written response including references to applicable rules and regulations.
- Tracking and reporting on customer compliant data including testing that all applicable required information regarding the investigation and compliant resolution are maintained. Based on analysis, document potential, and compliance issues and suggest proactive solutions.
- Assist with the investigation and analysis of issues relation to written supervisory and operational procedures, advertising and sales literature, and other relevant data.
- Assist with regulatory inquires and drafting responses to regulatory inquires.
- Reviewing and documenting firm processes and draft written policies and procedures regarding supervisory control functions
- Review advertising and sales literature.
- Other projects as assigned
Education/Knowledge & Skills:
- Bachelor’s Degree
- Must be able to obtain required licenses*
- Strong written and verbal communication skills
- Ability to work well under pressure with multiple priorities and deadlines
- High degree of independent judgment
- Analytic and time management skills
- High proficiency with PC desktop applications and Microsoft Office
*Required Licenses- FINRA Series 7, FINRA Series 24, FINRA Series 66, State Life, Accident & Health, Variable Contracts, State Property & Casualty
To apply, please submit resumes to Resumes@HantzGroup.com and include the position you are applying for in the subject line
HantzGroupsm is an Equal Opportunity Employer. We do not discriminate on the basis of race, color, religion, national origin, sex, age, disability, marital status, height, or weight. It is our intention that all qualified applicants be given equal opportunity and that selection decisions be based on job-related factors.