Team Lead Compliance
The Compliance leader is an important member of our Complaints team who is responsible for helping to ensure our advisors and the firm comply with applicable rules and regulations, policies, and procedures. This is a key position as the effective and timely processing of complaints is necessary to mitigate regulatory risk to the firm. The Compliance leader is required to review and recommend appropriate outcomes to client complaints and handle FINRA filings wherever applicable. Responsibilities
• The end-to-end processing and resolution of customer complaints and field requests, including contacting field members and clients as necessary.
• Ensuring that customer complaints are processed efficiently, accurately and timely to meet regulatory requirements and expectations, including negotiating complex client settlements and processing as needed.
• Working collaboratively with the onshore team.
• Doing FINRA filings.
• Participating in the team meetings and huddles and share best practices for process enhancement. Required Qualifications
• Bachelor degree, or equivalent experience
• 5-10 years of relevant experience
• Three plus years of broker-deal experience
• Firm understanding of the products and services offered by a broker dealer, as well as supervisory responsibilities of each
• Excellent written and verbal communication skills
• Excellent interpersonal skills with the ability to establish relationships internally and externally
• Strong attention to detail Preferred Qualifications
• Series 7 licensed or desire to obtain in the future.
• Experience of customer grievance handling