What are the responsibilities and job description for the OSJ Compliance Associate position at SmartPro Financial?
Job Overview
SmartPro Financial is seeking a part-time (with potential growth into a full-time) Compliance Associate to join our OSJ (Compliance & Brokerage Operations) Team. This team member will be responsible for maintaining ongoing relationships with assigned advisors, providing education, guidance, and support regarding compliance responsibilities while helping ensure adherence to industry regulations and firm policies. We are a rapidly growing firm, so this role is dynamic and responsibilities may vary from day to day. We are looking for someone who is adaptable, eager to learn new skills, and brings a strong work ethic to everything they do.
At SmartPro Financial, we believe a strong, supportive company culture is essential to our success and serves as a sustainable competitive advantage. We are committed to creating an environment where employees can thrive both professionally and personally. We are willing to train the right candidate, but the following qualities are essential:
Required Skills & Qualities
- Review, analyze, and approve daily new business submissions, including oversight of OSJ-approved trades, in a timely manner
- Attention to Detail: This role requires a strong eye for detail, whether reviewing a set of account opening paperwork or thinking through a compliance-related question
- Ambition & Initiative: We are seeking someone proactive, motivated, and excited to grow with our company
- Mission-Focused Mindset: SmartPro is dedicated to helping clients achieve financial freedom while providing an exceptional experience. We invest heavily in the growth and development of our advisors and employees to support long-term, fulfilling careers
Key Duties & Responsibilities
- Review, analyze, and approve daily new business submissions, including oversight of OSJ-approved trades, in a timely manner
- Ensure compliance with internal policies and procedures, as well as those of external clearing firms. Communicate potential violations or concerns to management as appropriate.
- Respond professionally and courteously to incoming phone calls, voicemails, emails, and occasional in-person inquiries, including escalated requests
- Train and support new and existing financial professionals on department processes, procedures, and software systems
Bonus
- Familiarity with Dave Ramsey and his financial philosophy is also a plus, feel free to mention this in your cover letter!
Education & Experience Requirements
- FINRA Series 7 and Series 24 licenses (required)
- High school diploma or equivalent (required)
- Bachelor’s degree in finance, or a compliance-connected field (preferred)
- 2 years of experience in a role covering compliance, or a connected field
- An equivalent combination of education and/or experience as referenced above
- Ability to pass a background check and complete fingerprinting prior to employment
Job Details
- Job Type: Part-time, with potential to transition into a full-time role
- Schedule: Monday - Friday, 20 hours/week
- Work Location: Can discuss options
Pay: $43.00 per hour
Work Location: In person
Salary : $43