ONESCO Books & Records Administrator

The Book and Records Clerk is responsible for maintaining accurate client account records, supporting regulatory communications, and ensuring adherence to FINRA and SEC requirements. This role plays a critical part in safeguarding the organization's regulatory compliance by validating data integrity, executing required recordkeeping processes, and facilitating timely communication with internal stakeholders and external partners.

Your role and impact

Here's a glimpse of your responsibilities and the meaningful impact you'll create as the Book and Records Clerk:

• Maintaining and updating client account records to ensure accuracy, completeness, and compliance with regulatory requirements
• Reviewing account data across multiple systems (e.g., NetX360 , Albridge, internal platforms) to validate consistency and resolve discrepancies
• Monitoring account statuses, representative assignments, and related data elements to ensure proper documentation and alignment
• Analyzing data sets to identify errors or gaps and take corrective action in a timely manner
• Applying knowledge of regulatory and product requirements to ensure records meet minimum compliance standards
• Serving as a point of contact for sponsor companies and external partners regarding account updates and record changes
• Processing inbound communications and data feeds, ensuring accurate and timely updates to internal systems
• Communicating updates through various channels including email, phone, and external portals
• Collaborating with internal teams and field representatives to ensure alignment and completion of required updates
• Executing regulatory mailings triggered by account activity or compliance requirements
• Reviewing reports and data supporting mailings to ensure accuracy and completeness prior to distribution
• Ensuring all communications are delivered in accordance with FINRA and SEC recordkeeping standards
• Supporting audit readiness and regulatory reviews by maintaining organized and accurate documentation

What's in it for you

• Competitive pay: Fair compensation for your hard work.
• Healthcare coverage: Comprehensive medical, dental, and vision from day one.
• Life insurance: Company-paid coverage for you and your loved ones.
• 401(k) plan: Matching contributions to help secure your financial future.
• Family support: Paid parental leave and reimbursement for adoption and surrogacy expenses.
• Work-life balance: Flexible time-off policy to recharge and pursue passions.
• Dress for your day: Express your style comfortably at work.
• Inclusion and Culture: A respectful environment that values unique contributions.
• Flexible work options: Remote, hybrid, and onsite opportunities at various locations across the U.S. for better work-life integration.
• Well-being focus: Programs to support a healthy balance between work and home life.

What sets you up for success

• High school diploma
• 1-3 years of experience in an administrative, operations, or financial services environment
• Strong attention to detail with a high degree of accuracy
• Proficiency in Microsoft Office (Excel, Outlook, Word)
• Effective written and verbal communication skills
• Strong organizational and time management abilities
• Ability to manage multiple priorities in a fast-paced environment
• Ability to work independently and collaboratively within a team
• Adaptability in a changing regulatory or operational environment

Preferred

• 3-5 years of experience in a broker-dealer or regulated financial services environment
• Working knowledge of broker-dealer operations and regulatory requirements (FINRA/SEC)
• Experience with NetX360 , Albridge, or similar financial systems
• Familiarity with regulatory recordkeeping and compliance processes