Compliance Coordinator

Financial Resources Group

Fort Mill, SC


Working under the supervision of the Chief Compliance Officer, the Compliance Coordinator oversees and manages specific compliance and operational projects. The employee in this role will assist the daily operation of support services for an organization, oversees and performs clerical and administrative support tasks, as assigned. The ideal candidate will also establish work procedures and standards to improve efficiency and effectiveness of managed projects and operations, and is responsible for ensuring compliance with established corporate standards and assisting the work and performance of field employees. This position will interact heavily with registered representatives and their support staff, and provides support to the OSJ compliance and supervision team.

This is an ideal entry level support role for an individual who is newly licensed and wants to grow and learn from seasoned professionals in an inviting environment, or someone who is interested in financial services and is looking to break into the compliance and supervision fields within the investment industry. The Compliance Coordinator will be required to work toward the processing of applicable paperwork and obtaining licenses to grow with the company and must rely on skills and judgment to plan and accomplish goals.

Job Overview and Responsibilities:

  • Support key decision makers to make policy-based and analytical decisions in reviewing account and branch activity, including but not limited to:
    • Create and disseminate materials on pressing industry topics
    • Use advanced Excel skills to create and manage large pools of data
    • Leverage communication skills to create system of reach out, data collection, and follow up efforts from field
    • Clerical, filing, and record-keeping
    • Review of Emails and Non-Electronic Correspondence
    • Assisting in investigations of questionable sales activity and pairing with Senior Analyst or Manager on resolution
    • Keeping up to date with company and industry regulations; ability to interpret firm policies and procedures and incorporate into daily processes
  • Routinely interact within a team environment to identify potential work-flow improvements and efficiencies
  • Manage specific duties or projects as requested
  • Possess a willingness and desire to become a licensed compliance and supervision analyst
  • Possess a willingness and desire to study for and pass multiple licensing exams

Required Skills and Experience:

  • Bachelors degree in Business, Accounting, Finance or related discipline
  • Minimum of 2 years in reporting and analysis, project management, and/or extensive multi-person support
  • Must have or be willing to complete FINRA Registrations, including Series 7; S63 & S65 (or S66); S24; S4 & S53 (or S9/10)
  • Basic knowledge of mutual funds, annuities, Alternative Investments, general securities, and other financial products required
  • Basic understanding of regulatory framework of FINRA, SEC, and State rules and regulations required
  • Ability to work in a fast paced/high volume environment and be flexible with work schedule
  • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position
  • Excellent oral and written communication skills
  • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential
  • Ability to develop compliance systems and strategies for effective supervision
  • Experience with all Microsoft applications, particularly, Excel, Word, Access, and PowerPoint.
  • Serves as a resource to provide trusted information for multiple departments
  • Demonstrate excellent time management, organizational problem solving and prioritization skills
  • Clean U4 and exceptional credit

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Click or drag files to this area to upload. You can upload up to 3 files.
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