Aston Carter Advisor Onboarding Analyst (Remote) in Tampa, Florida

[ad_1] Description: We are currently looking to hire an Analyst within the Advisor Review area of the Business Risk Management department within the Compliance, Legal and Risk (CLR) organization. The Advisor Review Analyst is a first line defense function responsible for the review of high risk representatives wishing to join and review of Outside Business Activity and Private Securities Transaction Requests for advisors. The Analyst will work closely with other departments throughout the onboarding process: Recruiting, Branch Development, New Client Onboarding and Registration Services, as well as several departments throughout for existing Advisors. Specific areas of responsibility include, but are not limited to: • Review requests for Outside Business Activities & Private Securities Transactions submitted by advisors • First line supervisory responsibility to conduct due diligence review on high risk registered representatives before they join • First line supervisory responsibility to conduct due diligence review on Non-Licensed Associates with prior registration histories, Office Sharing Arrangements, Delegations, and Termination Risk Reviews • Interacts with advisors, business consultants and various internal departments as well as senior levels of management in fully evaluating and communicating compliance determination, as well as, coordination of special projects and investigations • Works with assigned business units and provides supervisory expertise and consulting for projects and initiatives • Coordinates high risk profile reviews with the Regional Supervisory Principal in Home Office Supervision • Identifies suspicious risk profiles and ensures all appropriate information and details are gathered in order to make an appropriate decision • Assist with regulatory exams and requests as well as assist with other internal investigations and reviews • Create and analyze departmental metrics to assist to boost overall efficiency and productivity • Performs other duties and completes ad hoc projects as assigned Qualifications: • Undergraduate degree in Business, Accounting, Finance or related discipline • Minimum of 3-5 years industry experience • Licenses/Certifications Required: Series 7 AND Series 24 • Experience with all Microsoft applications, particularly, Excel, Word, Access, PowerPoint, SharePoint, and Visio. Familiarity with Salesforce and Oracle a plus Other Job Duties: • Ability to work in a fast paced/high volume environment and be flexible with work schedule • Knowledge of FINRA SEC, and State rules and regulations • Ability to multi-task, strong attention to detail, excellent problem-solving and follow-up skills are essential for this position • Excellent oral and written communication skills • Ability to make regulatory and risk-based decisions will be necessary to complete the day-to-day functions of the role • Proactive collaboration and service-based responses with business partners on escalated issues and concerns is essential About Aston Carter: Please Note: Scammers are posing as Aston Carter. We’ll never contact you via Gmail, Telegram, or WhatsApp and we’ll never solicit money from you. At Aston Carter, we’re dedicated to expanding career opportunities for the skilled professionals who power our business. Our success is driven by the talented, motivated people who join our team across a range of positions – from recruiting, sales and delivery to corporate roles. As part of our team, employees have the opportunity for long-term career success, where hard work is rewarded and the potential for growth is limitless. Established in 1997, Aston Carter is a leading staffing and consulting firm, providing high-caliber talent and premium services to more than 7,000 companies across North America. Spanning four continents and more than 200 offices, we extend our clients’ capabilities by seeking solvers and delivering solutions to address today’s workforce challenges. For organizations looking for innovative solutions shaped by critical-thinking professionals, visit AstonCarter.com. Aston Carter is a company within Allegis Group, a global leader in talent solutions. The company is an equal opportunity employer and will consider all applications without regards to race, sex, age, color, religion, national origin, veteran status, disability, sexual orientation, gender identity, genetic information or any characteristic protected by law. If you would like to request a reasonable accommodation, such as the modification or adjustment of the job application process or interviewing process due to a disability, please call 888-237-6835 or email [email protected] (%[email protected]) for other accommodation options. However, if you have questions about this position, please contact the Recruiter located at the bottom of the job posting. The Recruiter is the sole point of contact for questions about this position. [ad_2] Apply tot his job Apply To this Job