Compliance Operations Temporary
Compliance Operations Temporary
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
How will this role impact First Command
The Compliance Operations Contractor will be primarily responsible for helping to develop an efficient system to monitor and track First Commands regulatory requirements related to associates personal security. The Compliance Operations Contractor is also responsible for assisting the Compliance Director with overseeing many of the administrative functions associated with overall Compliance Operations.
What will the employee do in this role
Monitor and track regulatory disclosure reporting related to personal securities accounts
Contacting First Command associates to gather information about their accounts
Prepare the required 3010 Letters to outside brokerage firms.
Scan and review outside brokerage account paper statements.
Consolidate disclosed accounts and work with various firms to connect additional accounts on data feed.
Provide feedback to Compliance Officers and the Compliance Director in efforts to establish a company policy related to personal securities accounts.
Attend the bi-weekly meeting with the Compliance Operations Team
- Thoroughly analyze data gathered from disclosed accounts
- Assist in the development and enhancements to the Compliance Portal including forms and workflows
- Generate reports and assists with the preparation of the data metrics specific to personal securities accounts.
- Assist with other duties as assigned.
What Skills & Qualifications do you need
Education
High school diploma or equivalent; college degree preferred
Work Experience
General financial service industry or insurance industry experience preferred
Branch office and/or office manager field experience is a plus
Knowledge Skills and Abilities
Proficiency in Microsoft Word and Excel
High degree of attention to detail
Strong oral and written communication skills
Ability to work on multiple projects simultaneously with moderate supervision
Certifications
Series 6 Series 99 or 26 licenses preferred
#LI-NC1
Employment Type
Full-Time
