What are the responsibilities and job description for the Registrations and Compliance Specialist position at Associate Staffing?
The Company:
A prominent fortune 500 financial services firm with a nationwide network of independent financial advisors. This company offers an extensive selection of investment products and services to individuals, businesses, and institutions, with a strong emphasis on utilizing innovation and technology to cultivate client relationships.
What You Will Be Doing:
This role is part of the Compliance and Registrations team working to support back-office, behind-the-scenes processing work.
Ideal Candidate:
We’re seeking collaborative, service-oriented professionals who thrive in fast-paced environments. Success in this role requires excellent communication skills, and attention to detail.
What You Can Expect:
Growth Opportunities: You'll receive consistent coaching and feedback with opportunities to expand your licensing and grow into more senior roles.
Requirements:
- 1-2 years of relevant experience
- Broker-Dealer experience is strongly preferred
- Prior Registrations experience and/or anything related to Insurance
- Strong written and verbal communication skills
- Quick learner with ability to adapt in a dynamic environment
- Excellent multitasking, attention to detail, and follow-up skills
- Solid problem-solving abilities
Day to Day Responsibilities:
Cross-functional support / BAU work
Rotating and cross-training across operational processes
Compliance & Registration Tasks:
Submissions and updates to FINRA and U4
Internal data and record updates
Insurance appointments processing
Data & Reporting Work:
Data mapping and spreadsheet reviews for CNF
Data collection and validation
Operations Processing:
Back-office, behind-the-scenes processing work
Technical Skills:
Excel proficiency preferred: Strong with VLOOKUPs and formulas
Equal Opportunity Employer:
Associate Staffing is an Equal Opportunity Employer and does not discriminate against any employee or applicant for employment based on race, color, religion, sex, national origin, age, disability, veteran status, sexual orientation, gender identity, or any other protected status under applicable law. We are committed to creating a diverse and inclusive work environment and welcome applicants from all backgrounds to apply for open positions with our company.