Compliance Specialist - TalentBridge
Fort Mill, SC 29715
About the Job
Job Summary:
We are seeking a detail-oriented and proactive Compliance Specialist to join our team. This role involves reviewing and approving regulatory disclosure items submitted by registered representatives, ensuring compliance with industry standards. The ideal candidate will possess excellent analytical skills, a strong attention to detail, and the ability to manage multiple priorities effectively.
Key Responsibilities:
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Regulatory Review: Examine and approve regulatory disclosure submissions from registered representatives, ensuring accuracy and adherence to compliance requirements.
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Follow-Up: Engage with representatives to request additional information or clarification when necessary, maintaining clear and professional communication.
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System Navigation: Efficiently navigate RegEd and other online systems to manage and process disclosure items.
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Analysis & Escalation: Analyze responses to identify potential issues, determining when further follow-up or escalation is required to address concerns.
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Prioritization: Effectively prioritize multiple requests to ensure timely and accurate processing of disclosure items.
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Customer Service: Provide exceptional customer service to internal and external stakeholders, demonstrating professionalism and responsiveness.
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Record Keeping: Maintain thorough and accurate records of all interactions, decisions, and documentation related to regulatory disclosures.
Qualifications:
- Proven experience in a regulatory, compliance, or related role.
- Strong analytical and problem-solving skills.
- Proficiency in using online systems such as RegEd.
- Excellent verbal and written communication skills.
- Ability to manage multiple tasks and prioritize effectively.
- High attention to detail and strong organizational skills.
- Experience in providing high-quality customer service.
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