Compliance Monitoring Specialist
DriveTime
SQL
Compliance Analyst
Cnect
full-time
Posted on:
Location Type: Hybrid
Location: Dallas • Texas • 🇺🇸 United States
Visit company websiteSalary
💰 $66,000 - $95,000 per year
Job Level
Junior
About the role
- Respond to and address inquiries from various business units and the field to ensure compliance with the applicable laws, regulations and firm policy and procedures.
- Manage and respond to inquiries coming into the general Compliance email and phone queues and SalesForce.
- Review and process client accommodations requested by field partners.
- Maintain and assist in the drafting of department Desktop Procedures.
- Review and acknowledge requests for Private Securities Transactions.
- Review Office Sharing arrangements for the BD.
- Identify and maintain risk areas for Firm Element training.
- Serve as Compliance resource for the Business Development team and conduct reviews on individuals seeking to affiliate with the BD.
- Assist in the performing of 3120 and ad hoc testing on specific compliance and BD functions.
- Assist in special projects as requested.
Requirements
- 1 – 3 years of BD Compliance experience (preferred)
- Series 7 & 24 required
- Problem solving skills
- Analytical thinking
- Excellent written and verbal communication
- Excellent interpersonal skills
- Ability to multi-task
- Ability to work well independently as well as working in a shared service environment
Benefits
- Inclusive health, dental, vision and life insurance plans built to support diverse lifestyles, offer preventative care, and protect against hardship.
- Easy access to mental health benefits to meet our team members and their families where they are.
- 20+ days of paid time off (PTO), paid holidays, and 2 paid wellness days to give our employees the time they need to stay close with their loved ones, recharge, and give back to their communities.
- 401(k) Savings plan with a generous company contribution (up to 5%), and access to a financial professional to offer our employees the opportunity to plan-ahead for a strong financial future well beyond their working years.
- Paid parental leave to support all team members with birth, adoption, and foster.
- Health Savings and Flexible Spending Account options to help you save money on healthcare, daycare, commuting, and more.
- Employee Assistance Program (EAP), LifeLock, Pet Insurance and more.
Applicant Tracking System Keywords
Tip: use these terms in your resume and cover letter to boost ATS matches.
Hard skills
BD CompliancePrivate Securities TransactionsOffice Sharing arrangements3120 testingad hoc testing
Soft skills
problem solvinganalytical thinkingwritten communicationverbal communicationinterpersonal skillsmulti-taskingindependent workteam collaboration
Certifications
Series 7Series 24
