Financial Compliance Associate West Wealth Group, LLC in Irvine, CA is seeking to add a Financial Compliance Associate to our team! The ideal candidate for this role will be someone who has the desire to work in the financial industry long-term and contribute to the growth of our business.
Job Description : You will play a crucial role in upholding regulatory compliance and ensuring the highest standards of customer service.
You will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues.
By leveraging your analytical skills and attention to detail, you will contribute to enhancing our organization's reputation and maintaining trust with our clients. Key Skills :
- Strong organizational skills
- Excellent communication; written and verbal
- Attention to detail and accuracy
- Proactive management style and consistent follow-through
- Critical thinking skills
- Strong judgement and decision-making skills
- Ability to be a complex problem-solver
Minimum Requirements :
- Bachelor’s Degree preferred
- Financial Industry experience required
- 2+ years working alongside a Financial Advisor in a fast-paced office environment preferred
- Experience with MS Office Suite (especially Excel) and the ability to learn new software quickly
- CRM experience
- Compliance Training
- Risk Management
Responsibilities :
- Checking the status of various business operations to ensure compliance with regulations
- Conducting tests and studies into the company's product compliance
- Advising management on compliance-related matters
- Maintaining documentation of compliance activities, such as complaints received or investigation outcomes
- Preparing reports by collecting, analyzing and summarizing information
- Working with our consulting firm to report violations of compliance or regulatory standards by duly authorized agencies as appropriate
- Working with our consulting firm to disseminate written policies and procedures related to compliance activities.
- Working with our consulting firm to file appropriate compliance reports with regulatory agencies
- Analyzing and updating existing compliance policies and related documentation
- Placing Trades
Salary :
$80,000-$90,000 BOE
Benefits :
- 401k after 1 year
- Medical, Dental, Vision - after 90 days 100%
Hours :
- Monday-Friday, 8am-5pm
- In office days are Tuesday-Thursday, Monday and Friday are remote
Training :
- Training will be conducted mostly over Zoom
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