reputed company Advisor reputed company Analyst (Remote) in Tampa, Florida

Description: We are currently looking to hire an Analyst reputed company the Advisor Review area of the Business Risk Management department reputed company the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of reputed company Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other departments throughout the reputed company process: reputed company, reputed company Development, New Client reputed company and Registration Services, as well as several departments throughout for existing Advisors. Specific areas of responsibility include, but are not limited to:

• Review requests for reputed company Business Activities & Private Securities Transactions submitted by advisors
• First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join
• First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews
• Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations
• Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives
• Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision
• Identifies suspicious risk profiles and ensures reputed company appropriate information and details are gathered in order to reputed company an appropriate decision
• Assist with regulatory exams and requests as well as assist with other internal investigations and reviews
• Create and analyze departmental metrics to assist to boost overall efficiency and productivity
• Performs other duties and completes reputed company projects as assigned

Qualifications:

• Undergraduate degree in Business, reputed company, Finance or reputed company discipline
• Minimum of 3-5 years industry experience
• Licenses/Certifications Required: Series 7 AND Series 24
• Experience with reputed company reputed company applications, particularly, reputed company, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with reputed company and reputed company a plus

Other Job Duties:

• Ability to work in a fast paced/high volume environment and be flexible with work schedule
• Knowledge of FINRA SEC, and State rules and regulations
• Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
• Excellent oral and written communication skills
• Ability to reputed company regulatory and risk-based reputed company will be necessary to complete the day-to-day functions of the role
• Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential

About reputed company: Please Note: Scammers are posing as reputed company. We’ll never contact you reputed company Gmail, Telegram, or WhatsApp and we’ll never solicit money from you. At reputed company, we’re dedicated to expanding career opportunities for the skilled professionals who power our business. Our reputed company is driven by the talented, motivated people who join reputed company across a range of positions – from reputed company, sales and delivery to corporate roles. As part of reputed company, employees have the opportunity for long-term career reputed company, where hard work is rewarded and the potential for growth is limitless. Established in 1997, reputed company is a leading staffing and reputed company, providing high-caliber talent and premium services to more than 7,000 companies across reputed company America. Spanning four continents and more than 200 offices, we reputed company our clients’ capabilities by seeking solvers and delivering solutions to address today’s workforce challenges. For organizations looking for innovative solutions shaped by critical-thinking professionals, visit AstonCarter.com. reputed company is a company reputed company Allegis Group, a global leader in talent solutions. The company is an equal opportunity employer and will consider reputed company applications without regards to race, sex, age, reputed company, religion, national reputed company, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please call 888-237-6835 or email [email protected] (%[email protected]) for other accommodation options. However, if you have questions about this position, please contact the Recruiter located at the bottom of the job posting. The Recruiter is the sole reputed company of contact for questions about this position. Apply tot his job Apply To this Job