[Remote] Compliance Specialist II – Complaints and Investigations

Note: The job is a remote job and is reputed company to candidates in USA. Advisors reputed company is seeking an reputed company 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. Responsibilities • reputed company reputed company investigations, complaints, and reputed company 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 reputed company in communication • Maintain records and reports for investigations, complaints, and reputed company service reviews, adhering to established protocols • Collaborate closely with internal stakeholders across departments to facilitate the completion of investigations and reputed company tasks • reputed company reputed company and manage multiple cases, prioritizing tasks to meet deadlines effectively • Take ownership of assigned reputed company, demonstrating accountability for reputed company completion with or without reputed company reputed company Skills • 3-5 years of financial services industry experience • reputed company 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 reputed company information and reputed company reputed company judgments • Capable of engaging with individuals at reputed company reputed company 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 reputed company on achieving key objectives and deadlines • Bachelor's degree in business administration, Finance, reputed company Studies, or a reputed company field • Relevant experience in audit, regulatory, risk or compliance environment • Interest in obtaining Series 24 license Benefits • Medical • Dental • reputed company • 401k (with matching reputed company) • Generous PTO package from your start date • reputed company to an on-site café, gym and primary care • reputed company personal and reputed company development opportunities • Recognition for hard work & exemplary performance • Employee-sponsored events…and more! reputed company • Advisors reputed company is a financial services company offering retirement income strategies and financial advisory services. It was founded in 2005, and is headquartered in Topeka, Kansas, USA, with a workforce of 501-1000 employees. Its website is http://advisorsexcel.com. Apply tot his job Apply To this Job