What are the responsibilities and job description for the Compliance Administrator position at Argent Financial Group?
General Job Description
Compliance Administrator (CA’s) represents Argent, the Division, and AALS in the community and marketplace. Compliance Administrator will be assigned to review new business. Compliance Administrator will be assigned to maintain compliance reports and platforms. Compliance Administrator will be assigned to track quarterly and annual acknowledgements along with reviewing annual accounts.
Essential Duties
- Maintain and update Compliance platforms
- Generate and maintain compliance reports
- Assist with coordination for compliance meeting and document meeting minutes
- Review new accounts for accuracy
- Track and document quarterly and annual acknowledgements
- Update account forms as needed
- Organize, scan and file documents for client files
- Perform other duties as required
Qualifications
Knowledge and Skills:
- Knowledge of compliance with applicable laws and regulations
- Understanding the importance of discretion when handling sensitive information
- Strong data entry, document review and transaction processing
- Organize files digital and paperwork for compliance and operational efficiency
- Ability to prioritize tasks and meet deadlines
- Excellent organizational skills and attention to detail.
- Excellent written and verbal communication skills.
- Proficiency in Microsoft Office Suite or similar software.
Education/Experience:
- Bachelor's Degree or some college preferred, work experience in lieu of degree is acceptable
About Argent:
Argent Financial Group (Argent) is a leading, independent client asset services firm offering individuals, families, businesses, and institutions wealth management, asset management, and asset servicing. The firm is responsible for more than $90 billion in client assets. Formed in 1990 in Ruston, Louisiana, Argent can trace its roots back to 1930. For more information, visit www.ArgentFinancial.com.
- Argent Advisors
For over 10 years the office handled the investment management for Argent Financial Group but is now primarily an Argent Advisor location serving retail clients.
Our mission is to help establish, manage, and protect our clients' financial plan. We take that very seriously. Your Financial Plan is the personalized roadmap to your future. It keeps you on track to meet the unique goals that we establish.
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