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.
- 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.
- 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)