Transition Coordinator
Transition Coordinator
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Not Disclosed
Salary Not Disclosed
1 Vacancy
Job Description
How will this role impact First Command
The Financial Industry Regulatory Authority (FINRA) oversees the people and firms that sell stocks bonds mutual funds and other securities. FINRA Rule 3110(e) Responsibility of Members to Investigate Applicants for Registration requires First Command to obtain certain information on an applicant to make an evaluation prior to hiring them. This Rule is designed to mitigate client industry and company reputation risks.
The Transition Coordinator assists by preparing files so that the Transition Specialist can conduct highly regulated and structured background investigations on individuals applying for employment as a First Command Fast Start Advisors (FSA) Independent Contractor (IC) as well as on potential field staff hires; Licensed Associate (LA) Affiliated Financial Advisor (AFA) Office Manager (OM) Administration Assist (AA) Client Contact Specialist (CCS) and any other field facing roles requiring access to client information.
What will the employee do in this role
- Prepares thorough background investigation packages according to the firms policies applicable regulatory rules laws and procedural requirements utilizing online telephonic and third-party research
- Coordinates with key stakeholders on status of all candidates
- Conducts follow up on education and employment verification discrepancies
- Reviews Education and Employment verifications
- Follow up with vendor(s) regarding any discrepancies
- Contact candidates to collect documentation regarding discrepancies uncovered during education and employment verifications
- Ensures all Federal State and Carrier hiring guidelines are in line with First Commands investigation requirements and processes
- Assist in the gathering of files and documents during Regulatory investigations
- Continue to look for new and ever evolving search techniques tips and guidelines while maintaining a baseline of established research protocol assuring accurate and relative results
- Assist with notifications and revisions to individuals U4 when there is a known disclosable event
What skills & qualifications do you need
Education
- Associates Degree
Work Experience
- 1 to 2 years clerical experience required
- 1 to 2 years of legal documentation review preferred
- Knowledge of consumer reports preferred
- Knowledge of federal (FINRA) and state (Insurance) requirements preferred
Required Knowledge Skills and Abilities
- Outstanding written and verbal communication skills.
- Ability to use independent judgment and be entrusted with confidential information.
- Logical deductive reasoning
- Work independently with little direction
- Superior time management skills
- Meeting tight deadlines
- Ability to shift focus and engage in a fluid dynamic work environment that requires adaptability
- Must thrive in a fast-paced results-oriented and collaborative environment
- Strong attention to detail and accuracy
- Proficiency in navigating systems databases and specialized software
#LI-NC1 #LI-HYBRID
Required Experience:
IC
Employment Type
Full-Time
