Compliance Audit Coordinator performing audits of patient records for substance abuse treatment programs in Greenville, SC. Ensuring compliance with clinical standards and responding to audit requests.
About the role
- Regulatory Operations Consultant reviewing compliance and ensuring financial regulation adherence. Collaborating with firm areas to enhance operational processes and mitigate risks effectively.
Responsibilities
- Review trade activity, money movement, and supporting documentation for standard brokerage and RIA platforms to ensure compliance with policies, procedures, and regulatory requirements in relation to Supervisory Controls
- Adhere to control systems to prevent or deal with violations of legal guidelines and internal policies
- Enhancement of back-office processes, risk mitigation through research, and implementation/management of operational and supervisory procedures
- Responds to complex questions from internal and external customers regarding program guidelines and administrative procedures
- Coordinates and delivers training as needed
- Confront difficult issues and conflict in a professional, assertive, and proactive manner
- Attend to detail while maintaining a big picture perspective
- Other duties as assigned, including other supervisory and/or operations functions
Requirements
- High School Diploma or GED
- Series 7 at time of application or must obtain within 6 months
- Series 24 at time of application or must obtain within 6 months
- 3+ years experience in the financial services industry
- 1+ year of experience with brokerage products, program policies and provisions, and state and federal law
- 1+ year of experience with Microsoft Office (Excel, Word, PowerPoint)
- If candidate does not currently hold FINRA Licenses at time of application, then due to the nature of this position, candidates must be able to pass a non-registered fingerprint background check to qualify as a fingerprinted person under FINRA
Benefits
- Access to learning content on Degreed and other informational platforms
- Regular meetings with the Supervisory Control Procedures Team
- Focused one-on-one meetings with your manager
- Networking opportunities including access to Asian, Hispanic/Latinx, African American, women, LGBTQ, veteran and disability-focused Business Resource Groups
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