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Advisors Excel · 22 hours ago

Compliance Specialist II – Complaints and Investigations

United States

Full-time

Remote

Mid Level

3+ years exp

Advisors Excel is seeking an experienced and motivated Compliance Specialist II specializing in Complaints and Investigations to join their compliance team. In this advanced role, you will be responsible for investigating complaints, conducting thorough analysis, and implementing effective solutions to address compliance issues.

ConsultingFinancial ServicesMarketing

Growth Opportunities

No H1B

Responsibilities

Perform complex investigations, complaints, and quality service reviews by gathering and analyzing relevant documents and circumstances

Assist the Compliance Manager with training team members

Prepare comprehensive letters and memos pertaining to investigations and complaints, ensuring accuracy and clarity in communication

Maintain records and reports for investigations, complaints, and quality service reviews, adhering to established protocols

Collaborate closely with internal stakeholders across departments to facilitate the completion of investigations and related tasks

Efficiently track and manage multiple cases, prioritizing tasks to meet deadlines effectively

Take ownership of assigned projects, demonstrating accountability for timely completion with or without direct oversight

Qualification

Series 7 licenseFinancial services experienceAnalytical skillsWritten communicationProblem-solving skillsOrganizational skillsCollaboration skills

Required

3-5 years of financial services industry experience

Active Series 7 license required

Exceptional written communication skills with the ability to convey information accurately and succinctly through factual reporting, ensuring compliance documentation meets regulatory standards

Strong problem-solving and analytical skills with the ability to interpret complex information and make sound judgments

Capable of engaging with individuals at all levels of the organization and across diverse personality types, fostering effective collaboration and communication

Strong organizational skills in managing a demanding workload and navigating competing priorities in a fast-paced environment, while maintaining a focus on achieving key objectives and deadlines