Compliance & Operations Associate


The Operations & Compliance Associate plays a critical role in the compliance and operational functions of our firm by ensuring outstanding client and advisor service through direct contact with our broker dealer, advisors and fellow staff members. With responsibility for the day-to-day operational and compliance duties of the firm, this role ensures that all service needs are handled in a timely, accurate, and professional manner.

Required Qualifications

• Financial services experience & securities licenses are preferred

• Self-starter with ability to prioritize and manage multiple tasks/projects • Strong customer communication skills, along with excellent interpersonal, verbal and written communication • Superior organizational and follow-up skills

• Attention to detail and recognition of critical issues.

• Strong regard for high compliance standards

Preferred Qualifications

Job Responsibilities

This role helps service the firm’s advisor network by:

• Consistently providing a high level of proactive service in a professional manner.

• Answering advisor & client requests via phone and email

• Tracking advisor service issues and new business in process

• Tracking & monitoring OSJ compliance requirements

• Help develop systems for servicing advisor network

• Stay up to date with Cetera compliance processes and procedures

• Screen new account paperwork submitted from advisors in OSJ

• Work with other team members to drive a positive culture of compliance and service within our network of advisors.

Apply Today
Please contact Brooke Gautreau at (225) 612-3820 or if you are interested in this position.

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