Division: Office Support
Region: Greenville
JobID: 37446
 

Financial services company in Greenville is adding a Compliance Administrator to their team! This position will handle regulatory compliance duties under the direction of the Chief Compliance Officer and front desk phone and administrative work.

Duties:

  • Review advisor communications, accounts, and forms to ensure compliance with applicable FINRA and SEC regulations.
  • Work with the Compliance Officer and Operations V.P. to review, establish and update appropriate procedures.
  • Front desk administrative responsibilities including welcoming clients and visitors; answering and directing company phone inquiries.

Requirements:

  • BS in Business, Finance, or Accountant
  • Excellent MS Excel skills
  • Excellent verbal and written communication skills, and the ability to concentrate on repetitive tasks
  • Will be required to attain Series 7, 66 FINRA certification testing (company paid)
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