Client Relationship Manager, Wealth Management
TIAA
Compliance Associate
FINRA
full-time
Posted on:
Origin: • 🇺🇸 United States • Massachusetts
Visit company websiteSalary
💰 $65,000 - $79,000 per year
Job Level
JuniorMid-Level
About the role
- Educating and consulting advisors and staff, as well as Commonwealth employees, on a broad range of compliance topics, from compliance policies and procedures, verbally and in writing
- Ability to track and follow up on high volumes of cases
- Providing phone queue support for general compliance inquiries by advisors and home office staff
- Building relationships with our financial advisors and their staff by consistently providing the highest level of service
- Assisting in tracking and analyzing regulatory reporting requirements
- Conducting written and verbal inquiries of associated persons’ activities relating to the review of outside and firm-based activities
- Conducting a variety of compliance functions in support of the Compliance Operations team
- Working on exception-based reports designed to monitor the activities of affiliated advisors and their staff
- Identifying and escalating issues to Compliance Operations management, as well as proactively offering recommendations and solutions to address them
- Seeking out process inefficiencies with the Compliance Operations management team and proactively suggesting technological or operational improvements, as well as a plan for implementing them
- Upholding Commonwealth’s legacy of providing indispensable service to advisors and their staff
Requirements
- 2-3 years of compliance or financial services experience preferred
- FINRA Series 7 and SIE required
- Series 24 preferred
- Excellent listening and communications skills—written and verbal
- Strong attention to detail
- Excellent research and problem-solving skills
- Highly self-motivated
- Ability to learn, understand, and apply new information quickly and communicate clearly
- Intuitive thinker with the innate ability to piece multiple concepts together to resolve complex problems, assess risk, and see the big picture
- Positive attitude, with a strong desire to help others
