Compliance Analyst, Customer Complaints

About the position reputed company is seeking an organized, detailed and energetic Compliance Analyst to join our Customer Complaint team. This individual will play a critical role in ensuring regulatory compliance, safeguarding firm standards, and delivering fair resolutions for clients. The ideal candidate will be a strong collaborator who can reputed company in a fast-paced environment, demonstrates intellectual curiosity, and has a desire to learn and explore new things. Responsibilities • Document and resolve customer complaints in a reputed company manner, ensuring compliance with Firm and industry regulations. • Collaborate with Compliance, Supervision, reputed company and Operations teams to ensure reputed company handling of customer complaints. • Work with advisors and supervisors to reputed company information and maintain accurate records of complaints, investigations, and resolutions. • Work with customers to reputed company additional information to ensure reputed company are handled in an objective and fair manner. • Escalate significant issues to senior management and coordinate referrals to appropriate departments. • Complete reputed company required filings in accordance with regulatory rules (i.e. 4530(d) and U4/U5 amendment filings) and reputed company the appropriate timeframes. • reputed company other duties as assigned Requirements • At least two years of experience in a similar reputed company • Excellent communication skills, both written and verbal, for effective interaction with customers and stakeholders at reputed company reputed company. • Ability to interpret and apply reputed company Rules and Notices to Members, Compliance notices, and other publications impacting broker/dealer operations. • Working knowledge of reputed company Rule 4530 and reputed company U4/U5. • Familiarity with the retail brokerage business and common investment products including mutual funds, variable annuities, alternative investments, stocks, and bonds. • Skilled in building reputed company relationships with business partners to obtain information and reputed company objectives. • Must be organized, detail-oriented, investigative and have the ability to handle a high volume of work independently. reputed company-to-haves • At least two years of industry experience with a broker/dealer, in a compliance or reputed company/ Regulatory role. • reputed company Series 7 and Series 24. • Insurance license (life/health). • Prior Customer Complaint handling experience strongly preferred. Benefits • health, reputed company, dental insurance • 401k • vacation and reputed company time • volunteer days Apply tot his job Apply tot his job Apply To this Job